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FINRA’s Thomas Gira talks algo compliance and the future of supervision and surveillance in an exclusive interview with Radar.
Behavox is at the forefront of voice analytics for financial services. Senior R&D engineer, Arseniy Gorin, sets out some of its cutting-edge projects.
Radar meets Canada’s leading financial regulators to discuss misconduct, collaboration, and how technology is transforming their world.
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”.
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.
Trader talk under microscope again as firms face new pressure to cut out insider dealing.
The mere thought of the European Union’s incoming flagship data protection law is enough to make compliance and HR professionals break out in a cold sweat.
Some chatroom banter that slipped through the net.
With approaches to MiFID II relatively under control, attention is increasingly shifting towards the improvement of trade, e-communications, voice, and mobile surveillance, most often in that order.
US regulator finds email supervision an obvious and basic compliance failure – “find it first and report it” is the experts’ advice.