Mario Mizzi’s Post

🤖 Mastering Regulatory Change: Practical Strategies, RegTech Solutions, and the Role of AI - with Ruleguard, BNY Pershing, NatWest Group.   📈 The financial markets continue to face evolving regulatory landscapes, and this year presents significant challenges. With major updates to European Market Infrastructure Regulation Refit (EMIR Refit), Markets in Financial Instruments Directive (MIFID II), and Markets in Financial Instruments Regulation (MiFIR) updates, keeping up with these regulatory changes is more critical than ever.   💥 Are you ready to meet the latest compliance requirements?   Hear our industry experts address the challenges firms and compliance teams face, in managing these changes efficiently.     Webinar highlights: ✅ Upcoming regulatory changes and obligations ✅ Practical considerations for effective change management ✅ RegTech tools and solutions to streamline compliance ✅ The role of AI and machine learning in easing regulatory burdens ✅ The benefits of timely compliance, and the risks of falling behind 🏆 Enhance your regulatory change management processes, reduce risks, and ensure compliance with new obligations. Watch now! 🍿 https://lnkd.in/eVtTEuQK Learn more about our Regulatory Updates Solution here: https://lnkd.in/eUUeWpu8 #GRC BNY Pershing NatWest Group RegTech Insight, from A-Team Group #regtech #regulatorychange

#GenAI and #productivity in the #banking sector: "The use of artificial intelligence (AI) could save Morgan Stanley financial advisers between 10 and 15 hours a week" It seems that GenAI is getting a good traction in this sector More info here: https://lnkd.in/e6mWZryy

ESMA highlights that AI-driven processes are also subject to the Investor Protection rules under MiFID! #ESMA #AI #MiFID #InvestmentManagement

#AIWashing is becoming rife, and #investors are urged to be on high alert for #InvestmentFraudScams. In January this year, the Securities and Exchange Commission (#SEC) Office of Investor Education and Advocacy, the North American Securities Administrators Association (#NASAA) and the Financial Industry Regulatory Authority (#FINRA) issued an Investor Alert to highlight the rise in #InvestmentScams exploiting artificial intelligence (AI) and emerging technologies. These entities warn that fraudsters are leveraging #AI’s popularity and complexity to perpetrate #scams, urging individual investors to remain vigilant. More at #Proactive #ProactiveInvestors http://ow.ly/gCMK105mANa

🖥️ Hong Kong’s Securities and Futures Commission has issued new guidance on the use of #GenAI language models for corporations licensed under its rules – including private equity firms, asset managers and hedge funds. The #compliance impact of this guidance is expected to be widely felt by industry and throughout the #AI third party supply chain. The SFC #GenAI circular is effective now and licensed corporations (and those who provide #GenAI solutions to them) should begin its implementation planning immediately, particularly for high-risk use cases. 💡 For more, read our #techinsight by Eunice Lee and myself, and get it touch with us if you have any questions.

Is AI over-hyped or under-hyped? That was the closing question posed by Ronit Ghose from Citi, to Kfir Godrich at BlackRock, and Shelley McKinley at GitHub during the Building Tomorrow: Explaining the AI Tech Stack panel at the Singapore FinTech Festival The answer? “Over-hyped in some areas, under-hyped in others,” Shelley joked, with her lawyer goggles fully on. Overall, the panel addressed AI’s benefits and challenges, particularly for financial services, where regulated, high-stakes environments require rigorous oversight and trust. Discussions highlighted the need for trustworthy AI, maintaining risk management frameworks, and ongoing training to mitigate AI’s potential pitfalls, like hallucinations and data inaccuracies.

❓ Qadvisor's Question of the Week: Draft a market update newsletter for my clients. Read the full response here: https://lnkd.in/gyCa_rP9 Have any questions you'd like to ask? Let us know in the comments! #AI #Wealthmanagement #Fintech #Financialadvisors #CFP #CFA #Tech #GPT #Qdeck #Qadvisor

Join us for an engaging discussion this month as experts share their insights on ethical considerations necessary for responsible AI integration in the financial sector through the exploration of global regulatory frameworks, governance models, and fostering of collaborative strategies. Book now: https://lnkd.in/gm4ns4sm #financialservices #aiinfinance #digitaltransformation #fintech #responsiblefinance

The financial industry is under more scrutiny than ever, with regulators setting higher standards for integrating #AI and #ML in #compliance. Regulators worldwide now expect firms to go beyond traditional methods to track, assess, and respond to regulatory changes. 📈 Key Takeaways: 1. New Standards for AI in Compliance: Regulations like the #EUAI Act require firms to maintain transparency and accountability in AI usage. 2. Real-Time Monitoring and Risk Management: Manual processes are no longer sufficient. Advanced RegTech platforms, like FinregE, automate regulatory #horizonscanning, ensuring timely updates and risk readiness. 3. Proactive #ComplianceManagement: FinregE’s AI-driven solutions offer automated #impactassessments, real-time insights, and cross-departmental #workflows, enabling institutions to maintain compliance while staying agile. As compliance demands intensify, embracing advanced technology is essential for reducing #costs, preventing #fines, and achieving #operationalresilience. Learn how FinregE empowers financial institutions to stay one step ahead of evolving regulatory expectations. 👉 Read the full blog to discover how FinregE helps firms navigate the future of #regulatorychangemanagement. https://lnkd.in/eZBKNDJj #RegTech #AIinCompliance #FinancialCompliance #RiskManagement #FinregE #GenAI

NEW BLOG RELEASE: Artificial Intelligence or Artificial Concerns? The SEC’s Tech Trepidation Recently, the Securities and Exchange Commission (“SEC”) has embarked on an aggressive rulemaking agenda, partly addressing the challenges posed by rapidly evolving technologies in the financial services sector. This historically aggressive stance is marked by a heightened focus on emerging areas like Artificial Intelligence (“AI”) and predictive data analytics (“PDA”) used extensively by broker-dealers and investment advisers. However, this approach has sparked debate over the SEC’s seemingly unfounded concerns regarding new technological domains. Interested to read further? If so, please click here: https://lnkd.in/gJKG_kmR #financiallaw #privatefunds #investment #riskmanagement #fintech #regulatorycompliance #techlaw #financialtechnology #growth #financialgrowth #artificialintelligence #ai #analytics