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Podcast: Kristy Grant-Hart walks us through the compliance technology review
Head of Advisory Services for Spark Compliance highlights the incredible value of these reviews.
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ONS asked to take decisive action to restore confidence in its data
The UK’s Office for Statistics Regulation has published an interim report into the ONS’s performance.
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IOSCO thematic review pinpoints key challenges to effective market surveillance
Proliferation of venues and assets, data challenges as well as rapid technological change identified as key concerns.
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SEC Chair highlights competition in capital markets in speech
Thought-provoking remarks following the speech suggest treasury market reform a key focus for the SEC, while books and record requirements remain non-negotiable.
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Tax and finance professionals positive about GenAI, says EY survey
Responses from 1,600 professionals reveal embrace of technology, but firms are still slow to act.
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The DOJ revises Evaluation of Corporate Compliance Programs to spotlight new tech
Changes to the document mainly emphasize emerging technologies and data analytics.
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FINRA Annual 2024: Panelists share best practices on data analytics and Gen AI
Senior figures talked about how technology such as LLMs present great business opportunities … and risks.
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SIFMA 2024: Panelists tackle SEC proposal on predictive analytic tools
Sharp differences emerged during discussion on neutralizing conflicts of interest created by algorithms.