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Two and a half years ago, Germán Soto Sanchez backed his own belief and moved from a major US bank to a technology provider making fast progress with its cloud-based voice communications and data platform for institutional traders.
Radar spoke with Covington & Burling FS partners Charlotte Hill and Jerry Hodgkins to discuss the nature of modern whistleblower protections.
Financial regulators begin to probe ethical use of big data and artificial intelligence in banking.
On a quarterly basis, Radar explores some of the most innovative and effective CRX scenarios that have been deployed in real data sets and are giving clients new insights and signals.
New report finds attitudes at board level changing toward AI as banks prepare to overhaul antiquated systems.
Surveillance teams in dark over antics of traders as regulator slaps fine on bank.
Traditional models for supervision in larger institutions are evolving. Radar investigates the rise of the 1.5 team, as the three lines of defense with their defined roles and responsibilities react to the new controls hybrid.
Radar interviewed compliance chiefs at some of the world’s biggest banks to understand how they are adapting to protect their institution, and what behaviors and signals they believe to be the real indicators of impending trouble.
Radar spent time with Kavita Jain, director in the Office of Emerging Regulatory Issues at FINRA, discussing risks, trends, new technology and the rise of “alternative data”.
Big data is as essential to financial services as the internet itself once was, yet so many firms still get cannot get to grips with data management. Radar goes in search of the perfect enterprise data lake.
Radar met Scott Bauguess, deputy chief economist and deputy director, Division of Economic and Risk Analysis at the Securities and Exchange Commission, to talk big data, machine learning, and AI in compliance and filing.
Radar lists the top do’s and don’ts from technology experts.
A new toolkit from the Financial Stability Board (FSB) contains plenty of familiar weapons in an arsenal designed to combat misconduct and redirect enforcement to individuals rather than firms.
Securities and Exchange Commission Chairman Jay Clayton has warned firms they are being scored on their culture, and that misleading behavior will land tougher and more drawn-out regulatory action.
The emergence of Deferred Prosecution Agreements (DPA) across a significant number of new jurisdictions is putting compliance staff at multinationals under more pressure than ever to shore up their risk mitigation systems and avoid any potential corporate prosecution.
Trader talk under microscope again as firms face new pressure to cut out insider dealing.