- Innovative technology in financial supervision (suptech) – the experience of early users
Report · 1 July 2018
Financial supervisors can harness the same innovative technologies that are driving fintech developments. Such so-called SupTech applications can be found in the areas of data collection and…
- Insights on Artificial Intelligence and Financial Supervision
Report · 6 August 2025
Italian Companies and Stock Exchange Commission (CONSOB) paper explores AI applications in financial supervision. The publication paper examines AI in supervisory activities, highlighting…
- South Korea's Financial Supervisory Service (FSS) to build surveillance system for Nextrade
News · 18 August 2025
FSS Korea is developing a direct monitoring system for NextTrade, Korea's first alternative trading system (ATS), amid rising volumes and unfair trading concerns. Unlike the monopolistic Korea…
- New Technology Sectoral Disruptions
Report · 17 June 2024
We construct a novel measure of technology sectoral disruptions (TSDs) using a dynamic text-based spatial model of patents based on the extent to which innovation is suddenly highly correlated across…
- From Maps to Apps: the Power of Machine Learning and Artificial Intelligence for Regulators
Speech · 19 October 2017
The FCA's "From Maps to Apps" speech posits that the regulatory function is undergoing a fundamental shift, moving from traditional, two-dimensional regulation (the "map") to multi-dimensional data…
- Surveillance: The FCA's expectations and toolkits
Speech · 6 October 2014
In this speech, Patrick Spens, Head of Market Monitoring at the Financial Conduct Authority emphasizes that tackling market abuse is a core priority requiring strong collaboration between regulators…
- FCA Enforcement and the Wholesale Markets
Speech · 26 November 2014
In November 2014, Tracey McDermott, then-Director of Enforcement at the FCA, delivered a keynote address at the FX Week Europe conference emphasizing the urgent need to restore trust and integrity to…
- Beyond Pilots and Sandboxes: Regulatory Innovation through SupTech Case Studies and Leading Practices
Report, News · 1 June 2025
New white paper examines suptech implementation beyond pilots and sandboxes. The Alliance for Innovative Regulation and Amazon Web Services have published this paper exploring how regulators can…
- Indonesia's Financial Services Authority (OJK) launches new suptech tool to enhance capital market surveillance
News · 25 February 2025
The OJK has introduced OSIDA PMDK, a new data analytics application designed to improve capital market monitoring and investor protection. The system will initially focus on investor profiles and…
- Market Analysis Platform (MAP)
Solution
Market Analysis Platform (MAP) is a data repository and analytics system which collects post-trade data from exchanges, alternative trading systems (ATSs) and dealers/brokers in order to facilitate…
- Research proposes AI-driven surveillance framework to address India's Offer for Sale (OFS) information leakage
14 August 2025
Research analysing 39 OFS cases on India's National Stock Exchange (2012-2023) revealed concerning floor price information leakage, particularly affecting public sector undertaking companies. The…
- Nasdaq to boost market surveillance with generative artificial intelligence (GenAI).
15 May 2024
Exchange operator Nasdaq is integrating a GenAI-powered feature into its market surveillance technology. The operator says the feature will boost the quality, speed, and efficiency of market abuse…
- Indonesia's Financial Services Authority (OJK) launches new suptech tool to enhance capital market surveillance
25 February 2025
The OJK has introduced OSIDA PMDK, a new data analytics application designed to improve capital market monitoring and investor protection. The system will initially focus on investor profiles and…
- 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…
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