Our newest RegTech Associate and Conduct Risk Expert, Emma Parry, talks about some of the challenges and opportunities firms are facing as they address the requirements of the emerging Accountability regimes. With input from John O'Dwyer of Axiom HQ. With focus on the extension of the Senior Managers and Certification Regime (SM&CR) in December 2019 … Continue reading What’s on the horizon for Accountability Regimes?
In this second of two posts, we explore the difficulties presented by complying with market integrity and transparency regulations. Thankfully, there are many innovative technology solutions on the market to address these challenges and we have created a market map of this category to help buyers understand which products might fit their particular use case. … Continue reading Market Integrity and Transparency Part 2 – The How and the What
On 5th December, The Reg Doctor caught up with Ed Buckman, VP of Sales at AxiomHQ at the RegTech Rising conference to discuss all things conduct risk, after having seen a short demo of the new AxiomHQ solution for SMCR. How do you define financial conduct risk? Broadly speaking, the actions or behaviour of financial … Continue reading RegTech and Financial Conduct Risk – Q&A with Ed Buckman from Axiom HQ