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How HR teams can play a key part in the roll out of AI
Key areas where HR teams can add value and contribute to a successful role out of new AI technology within an organization.
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CFTC’s Johnson speaks of AI tools enhancing compliance, surveillance
Johnson said firms are leveraging AI to enhance their compliance and monitoring capabilities and meet regulatory mandates.
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FINRA fines former CCO at BD firm over surveillance lapses
Two compliance leaders of the global firm allegedly failed to properly supervise the surveillance of securities transactions.
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How the new age of AI can guard global markets
We need to understand the creative potential of AI if we are to feel the benefits.
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ACER highlights improvements needed in energy market surveillance under REMIT
Reports focus on PPATs’ readiness to identify suspicious activities and examine how NRAs analyze STORs.
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ESMA wants EU regulators to tackle market abuse in crypto assets
Newly released guidelines on supervision argue for risk-based approach, but one where issues are addressed by regulators.
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Market Abuse Summit 2025: Panel discusses use of AI to combat market manipulation
A panel of experts discussed how AI was helping firms and regulators detect and prevent market abuse and manipulation.
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Risk as a catalyst: PwC’s Tiffany Gallagher on healthcare compliance innovation
How rapid tech advance has changed healthcare’s compliance landscape.