RegTech Round-up

In this episode, CRTA Board member Rob Baldassare speaks with Charles, Gregory, Head of Surveillance and Financial Crime at member firm Data Intellect. In this conversation they discuss the intersection between technical advancement and regulatory oversight and how to balance innovation with ethical standards.

Over the last decade Canadian Banks have spent millions introducing new technology and strengthening compliance practices, yet obstacles remain. Criminals continue to find ways into the Canadian financial system. Estimates of so-called ‘snow washing’ suggest that $45billion to $113billion of dirty money is laundered in Canada each year.8 Recent FINTRA fines and undisclosed fines amongst tier one b...

Host Loren Schwartz speaks with Mark Sutera, VP of Enterprise Sales at Seclore about data protection. Listen as they explore the field of data security, trends in data threats, what firms can and should be doing about it and innovation in this space

In this podcast, host Matthew Ayearst speaks with Katerina Kindyni, Financial Services Sustainability Practice Lead, at EY Canada. Listen as they discuss their views on the impact of recent OSFI B-15 guideline and what financial institutions need to do to get ahead. - which includes EY's newly launched stress testing solution!

In our latest episode of RegTech Roundup - Financial Crimes edition, we delve into the challenges surrounding the collection of beneficial ownership data through centrally administered registries. Joining our host, Charlene Sebastian, in the discussion are Jennifer Arnold, Co-Founder & CEO of Minerva, and Matthew Van Buskirk, Co-Founder & CEO Regulatory, Hummingbird RegTech. While centrall...

Trade surveillance is a critical component of today's financial world, where regulations are ever-evolving. It's not just about keeping an eye on trades; it's about ensuring compliance, detecting anomalies, and mitigating risks effectively. Our guest, Martina Rejsjo, Head of Product Strategy at Eventus , shares insights into the complex challenges faced in the world of trade surveillan...

In the latest episode of our ESG Series, host Donna Bales speaks with Ajay Jindal, Executive Vice President at Decimal Point Analytics about his recent paper - Canada ESG Review 2023. This paper benchmark's Canada's progress against its global peers - showing a significant divergence between progress in asset management and the real economy.

In this episode we discuss the potential of reducing regulatory burden through the implementation of Machine-Readable Regulation. Machine Readable regulation is not a new concept but there has been renewed interest by the industry due to its potential to enhance compliance and risk management and reduce regulatory burden.  In 2016 the Financial Conduct Authority in the UK hosted a Tech Sprint that...

In our latest podcast in the ESG Series, host Donna Bales speaks with Eugenie Casier GRC Director from Clausematch. In this episode they discuss the elements of a ESG strategy, the importance of a setting a purpose and using it as a foundation for your ESG Program. Clausematch is a global regulatory technology software as service provider. The platform empowers companies to collaborate, create, ma...

In this episode of RegTech Round-up , host Donna Bales speaks to Gerry Murtagh, co-founder of RegTick . In this episode they discuss best practices and key focus areas to address some of the organizational challenges of developing a successful ESG Program. Gerry shares several techniques that RegTick uses to reduce complexity - such as VMOST to structure a ESG program, Empathy Mapping to understan...

The financial industry has undergone a significant transformation in recent years, with the accelerated shift to digitized services having a profound impact on the banking landscape. Not only has it changed the way financial institutions operate, but it has also affected anti-money laundering risks and financial crime prevention measures across the enterprise. As a result, there has been a marked...

In this episode of RegTech Round-up, Charlene Sebastian, Head of Client Success at MinervaAI and strategic advisor to the Canadian RegTech Association (CRTA), talks with Anthony Quinn, Founder and CEO of Arctic Intelligence, a multi-award-winning RegTech firm specializing in software for enterprise-wide audit, compliance, and risk management related to financial crime, about how firms can dramatic...

Money laundering and terrorism financing laws apply to millions of businesses, across 30+ industry sectors, and in over 200 Financial Action Task Force (FATF) member countries. And yet, there is no industry standard on how businesses should apply the risk-based approach (RBA) when developing Enterprise-wide money laundering and terrorism financing risk assessments. In this episode of RegTech Round...

March is Fraud Prevention month!   Digital Identification Verification (IDV) technologies play a critical role in preventing and detecting identity fraud. Through document verification and liveness checks, IDV solutions can be used to address a number of regulatory identification and know your customer requirements.    While embraced by many digital banks and cryptocurrency exchanges, as part of a...

In this episode of ESG Insights, host Donna Bales, speaks with Johnny Mattimore, Global Head of Risk and Sustainable Finance at First Derivatives.  We look at ESG from a risk lens - examining regulatory drivers, the maturity of capital market participants in understanding ESG exposures and how we can avoid past mistakes by using open source and proxy data and collaborative efforts for baselin...

The integration of digital assets into our global financial system continues to raise many questions. Has crypto hit the mainstream? If so, what regulations should apply? Should characteristics of the underlying technology play a role in how it’s regulated? And can crypto ever be truly regulated at all? In this episode, Charlene Sebastian Head of Client Success at MinervaAI and Strategic Advisor w...

In this episode, host Paul McRorie speaks with Blythe Barber Head of Business Development, Americas from Droit and Loren Schwartz, Senior Director of Regulatory Technology from CIBC.  They discuss the merits of buying versus building in house and how API's have introduced opportunities to integrate but they do not come without challenges. 

In this episode our host, Matt Fowler, speaks with Michael Barton from Invest Northern Ireland and Paul Childerhose (CRTA Board Member and Membership Engagement lead) about the opportunities that exist for firms large and small to leverage the growing tech and data talent in and around Belfast. With a growing need to manage common regulatory challenges Invest Northern Ireland, and the CRTA, are ab...

In this episode, host Myron Mallia-Dare speaks with Abishek Gupta from Sutra Management Consulting. Sutra Management Consulting is a analytics driven advisory focusing on assisting their clients deploy analytic and AI solutions.  In this inspiring episode Abishek explains how they recognized the gap of knowledge at the operational level at organizations trying to deploy AI and how they seized...

In this episode host Myron Mallia-Dare speaks with Tolga Kurt, Managing Partner of H3M Analytics. H3M is a AI-based AML software for KYC, AL and Sanctions. Now on his second start-up Tolga walks us through his motivation for starting H3M in 2018 - and his desire to use AI for the greater good and describes how the software uses active learning and ‘human-in-the loop’ to improve AML compliance...

In this episode our host Myron Milla-Dare speaks with Emmanuel (Manny) Cohen, CEO and Founder of Armadillo Group. Manny talks through his 25 year journey building his company - digging into his own pockets for funding - overcoming the skeptics and being a leader in bringing new tools and techniques into the KYC and due diligence process.  Armadillo Hub, is a scalable, cloud–based, e...

In this episode host Paul McRorie speaks with Ally Karmali, Associate Partner and Practice Lead in IBM Sustainability, Risk and Compliance and Martijn Groot, VP Marketing and Strategy, Alveo Technology. With Martijn providing a European perspective and Ally a North American perspective, they discuss the evolving regulatory and standards landscape and common data challenges  such as the availa...

In this episode, host Paul McRorie speaks with Parham Nasser i, VP Regulatory Strategy and Partnerships at InvestorCOM and Noel Sequiera, Manager, Membership Intake & Business Conduct Compliance at IIROC.   Noel and Parham discuss the changing landscape in wealth management. They discuss some of the new trends such as greater customization, new product impact, and the use of gamification...

In this podcast Paul McRorie speaks with Torstein Braaten, Head of Regulatory Affairs & CCO,  Bitbuy and Joe Schifano, Global Head of Regulatory Affairs, Eventus Systems. Listen as they explore regulation and market structure nuances between traditional markets  and crypto or digital assets. They dig into the differences but also highlight the many similarities and discuss the t...

In this episode Myron Mallia-Dare speaks with Jennifer Arnold, Co-founder of Minerva.ai. MinervaAI is a RegTech platform using deep learning and automation to execute enhanced due diligence and AML investigations in under 45 seconds.