Presenting Speakers
About the Session
Financial crime and market surveillance remain the top regulatory risk vectors globally, and enforcement is intensifying. Regulators are no longer just reviewing suspicious activity reports; they’re feeding them into AI-driven data fabrics to benchmark which firms truly have control and which don’t.
The new standard is about proving that your AI-powered surveillance is not just effective but explainable, privacy-compliant, and aligned with data sovereignty rules. The big RegTech drivers are how well firms meet these AI governance standards and how they maintain record-keeping integrity under MiFID, risk under the EU AI Act, and data privacy under the UK Data Act, and similar frameworks.
In this session, we’ll cut through the complexity of LLMs and Lexicons and discuss how standardized business events, integrated controls, and transparent AI can move firms from reactive compliance to proactive, continuous proof that risk frameworks are working smoothly.
Regulatory Challenges
- CFTC fines UBS for trade surveillance & SMBC, Santander, BNY Mellon for offline communications here
- FCA Market Watch 83: corporate finance market abuse risks here
- FCA CP25/18 Non-Financial Misconduct here
- FCA Market watch 76 – flying and printing here
- Dear CEO letter for principal trading firms – Algo trading here
- FCA 05/22 Market Watch 69 – Observations on market abuse surveillance here
- SEC $80m hacking and trading scheme fine here
- Electronic communications surveillance fines summarised here
- FCA £13.6m fine of Citigroup for failed trade surveillance requirements here
- Economic Crime (Transparency and Enforcement) Act 2022 here
- Conduct, culture, AI and data policy
New RegTech/SupTech drivers
- Premium – RegTech Edge: Navigating the 2026 RegRadar here
- Analysis – EU Rules governing AI will put compliance obligations on facial recognition RegTech here
- Q323 analysis – Regulatory Surveillance: Which camp are you in? here
- Q323 analysis – RegTech Surveillance: breaking silos with digital models here
- Q223 Analysis – Defining ‘Good Communications surveillance’ here
- TR analysis – FCA seeks tech boost for market surveillance here
- analysis – Getting in Front of New 2023 Surveillance AI Controls here
- analysis – Market Watch 69 & Surveillance RegTech here