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The Latest RegBI Developments » There have been some recent fines for not adhering to the Regulation Best Interest (RegBI) rules. Ozzie Berrios explains what firms can do to comply with the RegBI regulations. |
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Recent Fines for Recordkeeping and Supervision Failures » Hear from our Regulatory Compliance Expert, Paul Cottee, about the recent fines for recordkeeping and supervision failures, issued by the CFTC and SEC. |
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AI That Works for You » In this episode, we are exploring some exciting advancements in Artificial Intelligence (AI), and share with you NICE Actimize’s three-pronged approach to successfully using AI to detect misconduct and ensure regulatory compliance. |
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The Future of Trade Surveillance » In this episode, we are unwrapping the results of the Coalition Greenwich Benchmark Industry Report on The Future of Trade Surveillance. We did this survey to stay on top of the market trends and direction of travel as it relates to tools/technology firms use to combat things like market abuse and client abuse. |
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Are You Ready for Consumer Duty? » Watch this episode of Surveillance Insider as our expert, Osvaldo Berrios, shares the ‘ins and outs’ of Consumer Duty and what you need to be doing now to get ready before July 31st. |
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Are You Compliant With RegBI? » Learn from our experts about Regulation Best Interest (RegBI) - the regulator's exam priorities, what could be coming next, and how NICE Actimize can help your firm perform a gap analysis to determine its level of compliance and readiness. |
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Crypto Trading and Market Abuse » In February 2023, the UK government published its consultation and call for evidence on the "future financial services regulatory regime for crypto assets." The consultation is the most comprehensive set of proposals for crypto asset regulation to date. Learn about this new regulatory development and what it means for your firm. |
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Australia ASIC and TWPI developments » The Australian Securities and Investments Commission (ASIC) imposed a huge fine on a broker for reporting trades done off the transparent order book as having price improvement, when in fact they did not. Today we’re going to talk about the costly ramifications of incorrectly flagging trades, and what firms should be doing to alleviate this concern. |
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Conduct Surveillance in 2023 and Beyond » Our experts share their thoughts about some of the anticipated upcoming enforcement trends in 2023 and what are some of the exciting surveillance innovations regulators expect firms to utilize. |
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Tips for a successful surveillance program » Interested in modernizing communication & trade surveillance to avoid fines? We share highlights and recommendations from the recently released Opimas report "The Definitive Guide to Modern Trade and Communications Compliance »". |
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Preparing for FCAs Consumer Duty » Learn about the new Consumer Duty rule from the FCA in the UK that is signaling a major shift in expectations for financial services firms under its watch. Consumer Duty will set higher standards for how financial services firms (broker-dealers) conduct business with consumers. |
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Selecting a Comms Surveillance Solution » As firms aspire to cultures driven by ethical behavior, we show that communications surveillance can bring much-needed transparency. How do you avoid a siloed approach to surveillance that makes it difficult to get a big-picture view of conduct across the organization? |
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Improve How to Detect Risk » We introduce you to SURVEIL-X, our Holistic Conduct Surveillance platform, and share some real-world success stories. |
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Natural Language Processing (NLP) » NLP is reshaping the world of compliance. Are you currently using NLP, or are you considering augmenting your old lexicon-based solutions? We show how SURVIEL-X is using Natural Language Processing and Artificial Intelligence and will hopefully demystify 'NLP'. |
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Intelligent Alerting » Are high volumes of false alerts creating a strain on your compliance department and driving up costs? Are your compliance analysts spending too much time and effort reviewing, triaging, and dispositioning false alerts? In this video, we share highlights from our SURVEIL-X Intelligent Alerting capabilities. |
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