- Benchmarks
Standard or Guidance · 4 December 2014
This page provides an overview of benchmark regulation in the UK under the UK Benchmarks Regulation (UK BMR), which originated from the EU Benchmarks Regulation (BMR) that came into full effect on 1…
- CMA Kenya Online Services Portal
Solution · 26 August 2013
The CMA Online Services Portal streamlines the submission and management of regulatory requirements under Kenya’s Capital Markets Act. It enables users to apply for and renew various licences…
- Resilience and innovation in times of change
Speech · 6 October 2022
In her keynote address at the Securities and Futures Commission (SFC) opening of the Asia Securities Industry and Financial Markets Association (ASIFMA) Tech and Operations Conference, Ms Julia Leung…
- WINGS
Solution · 4 January 2019
WINGS is a web-based platform for SFC electronic forms and online submission services launched in January 2019. In late 2021, the Securities & Futures Commission of Hong Kong announced the launch of…
- RegTech and SupTech Analytics Platform
Solution · 29 November 2022
In 2022, the Securities and Exchange Commission (SEC) Zambia entered into a collaborative partnership with Innova to pilot the Integrated RegTech, SupTech & Analytics Platform with 5 capital market…
- Abu Dhabi Global Market (ADGM) financial regulator publishes business plan focusing on regulation and innovation
Report, News · 23 April 2025
The Financial Services Regulatory Authority (FSRA) of ADGM has released its 2025-2026 Business Plan, which prioritises global regulatory alignment, financial crime prevention, operational resilience…
- Equities consolidated tape
Report · 13 August 2024
A CT collates market data, such as prices and volumes associated with trades in a financial market. It aims to provide a comprehensive picture of transactions in a specific asset class. We expect a…
- Guidelines to Stock Exchanges, Clearing Corporations and Depositories
Standard or Guidance · 22 November 2024
These guidelines include resolving whistleblower complaints within 60 days, adopting regtech and suptech for better regulatory and supervisory mechanisms, and establishing standard operating…
- SEBI Virtual Assistant (SEVA) Chatbot
Solution, News · 29 July 2024
SEVA is an AI-powered conversational platform developed by the Securities and Exchange Board of India (SEBI) to enhance investor protection and engagement. The chatbot provides users with accessible…
- Consolidated Audit Trail (CAT)
Blog
FINRA CAT, LLC, a subsidiary of FINRA has has selected Amazon Web Services (AWS) as its cloud provider for the Consolidated Audit Trail (CAT). The CAT will allow regulators to improve securities…
- Benefits from advanced technology infrastructure in supervision
News · 14 May 2025
The ECB has revolutionised banking supervision through advanced digital platforms and artificial intelligence (AI) tools, according to Frederik Hoppe. Key systems including the IMAS portal, CASPER…
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