Regulatory

In this article, the final one in our four-part series, we explore how explainable AI (XAI), predictive monitoring, and ethical AI development will shape the next generation of financial compliance.

In the third article of our four-part series, we look at uses cases and how AI is Reshaping KYC & CDD. From automated identity verification and transaction monitoring to adverse media screening and continuous risk assessment.

In the second article of our four-part series, we look at the benefits & challenges of AI in KYC & CDD.
AI boosts efficiency, enhances fraud detection, and reduces compliance costs – but it also comes with challenges like bias, data privacy concerns, and regulatory scrutiny. We look at both sides of the AI equation.

In this article, the final one in our four-part series, we explore how explainable AI (XAI), predictive monitoring, and ethical AI development will shape the next generation of financial compliance.

Front office controls has emerged as a hot topic in 2024 and promises to be an area of continued focus in 2025 in response to increased regulatory scrutiny. In the following article we explore what good looks like and how to approach building a market leading FOCF.

Under Operational Resilience, a firm’s mapping and scenario testing should identify vulnerabilities that may prevent them from remaining within impact tolerance for severe but plausible scenarios.
Firms should have significantly advanced remediation activities for these vulnerabilities to ensure compliance by 31 March 2025. Remediation plans must be approved, fully funded, and well-governed, with closure evidence provided through repeated scenario tests to verify resolution

This article looks at how a regulatory horizon scanning solution fits into the regulatory change operating model and supports investment managers in meeting their regulatory obligations and strategic business objectives

Under Operational Resilience, firms must develop and maintain robust testing plans to ensure they remain within impact tolerances for each important business service. These plans should identify severe but plausible scenarios across various adverse conditions, reflecting risks and vulnerabilities. This information is crucial for a firm’s governing body and senior management to develop well-funded plans to address vulnerabilities