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Regulatory technology, is a new technology that uses information technology to enhance regulatory processes. With its main application in the Financial sector, it is expanding into any regulated business with a particular appeal for the Consumer Goods Industry. Often regarded as a subcategory under FinTech, RegTech puts a particular emphasis on regulatory monitoring, reporting and compliance and is thus benefiting the finance industry.

Caleb Woo

Caleb Woo Client Success at Artius Global

Shareholding regulations will require more transparency

A snippet from the FT on Archegos “regarding bank claims. . . . It will come down to what indemnity was in the loan and swap agreements.” What it fails to address is the market impact of these agreements. What comes to mind is that increased market transparency and disclosure is needed. With regulators continually demanding greater transparency to...


Dexter Penn

Dexter Penn CEO at Kalgera

Fears of a spike in vulnerability on the anniversary of the FCA guidance

This week marks a year since the Financial Conduct Authority (FCA) issued guidance to financial institutions for the fair treatment of vulnerable customers. The aim of the guidance is to encourage banks and building societies to better understand the needs of vulnerable customers so that they can better serve them. Ahead of the anniversary, we con...

/regulation /inclusion

Anil Karmel

Anil Karmel Co-Founder and CEO at RegScale

Modernizing Compliance to move at the Speed of Business

As you consider your company’s compliance processes, do the words speed or real-time come to mind? If your organization is like most, they probably do not. Without finger pointing or complaining, let’s face it - the common ways companies manage compliance (Excel spreadsheets and Word documents) were not designed to keep up with the speed at which ...

/regulation /devops

Gabriel Hopkins

Gabriel Hopkins Chief Product Officer at Ripjar

Time to Talk Turkey

With the constant barrage of news related to Covid-19, it is sometimes easy to forget about the complex geo-political world we live in and the difficult and seemingly intractable problems that fill it. One reminder of those complex problems came in late November with the inclusion of Turkey on the Financial Action Task Force (FATF) greylist along...

/regulation /crime

Claus Christensen

Claus Christensen CEO at Know Your Customer

From Perpetual KYC to Perpetual KYB: Challenges and Opportunities

Historically, the space of individual Know Your Customer (KYC) compliance has always been one step ahead in terms of industry awareness and digitisation trends compared to the connected area of corporate KYC, or “know your business” (KYB) compliance. Hence, to know what’s coming for KYB, it’s worth paying attention to what’s currently happening in...

/regulation /crime

Andreas Hobbelin

Andreas Hobbelin Head of AML & FCP at ZTL PAYMENT SOLUTION

What I learned from my meeting with an organized crime figure

A couple of years ago I was walking over Stureplan in Stockholm when I heard somebody yelling my name, I turned around and there was the little brother to one of my former childhood school friends who came to Sweden as a refugee in the 90s. He was tall, big and actually looked like a real crime figure. I couldn’t pretend that I didn’t recognize him...

/regulation /crime

Ravishankar Poonjolai

Ravishankar Poonjolai Consulting Partner at TCS

SEC Derivatives Regulation for Funds - Industry Considerations and Opportunities

As per Investment Company Act of 1940 of Securities Exchange Commission (SEC) of USA, investment management firms and business development companies can use derivatives in mutual funds, ETFs, and closed end funds, except money market funds, with exposure up to ten percent of their assets under management. SEC introduced a new rule under section 1

/regulation /wealth

Jane Jee

Jane Jee 

The Future of Women in RegTech

The number of women working in RegTech account for up to 35% of the industry’s workforce, which compares favourably to the FinTech industry, where 29% of roles are held by women. However, more can and should be done - as mentioned by Lucy Heavens, Co-founder of RegTech Women – from encouraging more young women into the RegTech industry, through ...

/regulation /crime

Maximilian Dyck

Maximilian Dyck 

Transforming Data Collection: FIRE as a common input layer

Originally posted on In January 2020, the Bank of England initiated a project entitled ‘transforming data collection’ with the aim to improve data at financial institutions and facilitate regulatory compliance processes. Among the Bank’s key considerations were com...


Claus Christensen

Claus Christensen CEO at Know Your Customer

Company Registries, RegTech Innovation and the Future of AML

Humans have been creating companies since ancient times, but business registries did not make an appearance on the global stage until the 19th century. National institutions – keen to tax businesses among the rise of global trade and the advent of the industrial revolution – started introducing official lists of organisations operating in their spe...

/regulation /crime

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