Is Artificial Intelligence Ready for Financial Compliance?

Artificial Intelligence (AI) has become a hot topic in RegTech. This blog aims to clarify the difference between AI and Machine Learning (ML), and to explain some of the complexities of implementing these technologies in compliance applications.

Latest ESMA Update Clears up Grey Areas of MiFID II

ESMA recently released its latest updated Q&A document on MiFID II investor protection topics to further clarify obligations under MiFID II and promote industry-wide standards in the application of these regulations.

NICE Introduces COMPASS Compliance Assurance

NICE COMPASS provides powerful compliance assurance automation tools, monitoring dashboards and reports to help financial institutions ensure enterprise-wide compliance with MiFID II and other regulations.

MiFID II: The Time to Get Ready is Now

ESMA confirmed there will be no further delays in the implementation of MiFID II. Getting ready won’t be quick or easy, but if you follow the pointers in this blog toward financial communications compliance, you’ll be on the right path.

How to prove your regulated users are being recorded

Second blog in a Blog Series on Compliance Assurance. In this blog we discuss the complexities around the second requirement of MiFID II which involves providing evidence of compliance and how NICE COMPASS can help banks to automate compliance assurance processes.

How to ensure to record the right communications

First blog in a Blog Series on Compliance Assurance. The changing regulatory landscape means that any and all communications around trades will need to be recorded, including the pre- and post-stage part of the trade, and including mobile phone recording. Are you ready for that?

Are you prepared for Communications Compliance?

10 Questions to ask to prepare for rapidly expanding financial recording requirements, such as MiFID II, MAR, Dodd-Frank and Code of Conduct, that expand the scope of monitored employees, asset classes, communication channels, devices, and retention requirements.

Additional MiFID II regulatory scrutiny from FCA?

The FCA has recently published a Policy Statement regarding MiFID II, and although it appears to give relief to some Article 3 firms, this relief comes with the potential for increased regulatory scrutiny if firms should decide to exercise the alternative to a voice recording program.

Regulatory Reform: Don’t Hedge Your Bets Yet

With the recent installation of a new President in the United States, there is an enormous amount of uncertainty to what regulatory reforms will be either, changed or revoked within the financial markets. But financial firms need to be careful in hedging against a pullback in requirements.

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