- ASIC Design and Distribution Obligations (DDO) Surveillance Suite
Solution · 1 January 2022
ASIC's surveillance architecture monitoring compliance with the Design and Distribution Obligations (DDO) regime for retail investment products. Ingests system-wide Internal Dispute Resolution (IDR)…
- CambioAM – Unsupervised ML for FX Fraud Detection
Solution
CambioAM is a pilot project applying unsupervised machine learning algorithms to identify financial institutions whose operational patterns in foreign exchange contracts deviate from the norm…
- Bot Report for Financial Statements
Solution, Report
The solution is best described as a “bot report” that checks for the percentage of mistakes in financial statements of listed firms. By employing this solution, AFM enabled its supervisory staff to…
- AI-powered Market Scanning Detection Model
Solution, Report · 31 March 2025
The SFC employs AI-empowered analytics to assess financial disclosures, market trends, and governance indicators to identify companies with elevated risk profiles. Rather than immediately initiating…
- Cloud-Based Financial Analytics, RegTech & Reporting Platform
Solution · 1 July 2021
The CMA partnered with Innova Limited and 15 capital market stakeholders in Kenya (Actuaries, Fund and Unit Trust Managers, Investment Banks, Custodians and Regulators) between 2019 and 2021 with the…
- Commodity Futures Trading Commission AI Compliance Plan for OMB Memorandum M-25-21
Standard or Guidance · 25 September 2025
This compliance plan outlines the Commodity Futures Trading Commission’s approach to fulfilling the requirements of OMB Memorandum M-25-21, with a focus on fostering innovation, safeguarding…
- U.S. Securities and Exchange Commission AI Compliance Plan for OMB Memorandum M-25-21
Standard or Guidance · 29 September 2025
This compliance plan outlines the U.S. Securities and Exchange Commission’s approach to fulfilling the requirements of OMB Memorandum M-25-21, with a focus on advancing AI adoption, governance, and…
- A spare tire for capital markets: Fostering corporate bond markets in Asia
Report
A report prepared for EMEAP by Marlene Amstad, Steven Kong, Frank Packer and Eli Remolona at the request of Mr Grant Spencer, Deputy Governor of the Reserve Bank of New Zealand and Chair of the EMEAP…
- SFC data analytics platform
Solution · 21 December 2022
Hong Kong's Securities and Futures Commission data analytics platform is a key suptech initiative that leverages big data and artificial intelligence to analyse trading-related data submitted by…
- BLENDER
Solution · 31 December 2012
This tool, developed by the FCA Market Oversight Division, is a suptech application designed to detect market abuse by integrating and standardising data from multiple trading venues. Launched as a…
- ASIC Data Strategy 2021–26
Strategy · 31 August 2022
ASIC's Data Strategy 2021–2026 outlines the authority's vision to fully harness their data assets and analytics capabilities, empowering people to put data into action and enabling data-informed…
- Building trust and confidence: ASIC priorities
Speech · 1 June 2016
In a speech at the Annual Stockbrokers Conference in Melbourne on 2 June 2016, Greg Medcraft, Chairman of the Australian Securities and Investments Commission, emphasised that trust and confidence…
- Driving better consumer outcomes in the era of big data and artificial intelligence
Speech · 2 November 2016
In a speech to the Corporate Governance Discussion Group in Sydney on 3 November 2016, Greg Medcraft, Chairman of the Australian Securities and Investments Commission (ASIC), explains how advances in…
- The Market Analysis and Intelligence (MAI) system
Solution · 24 November 2013
The Australian Securities and Investments Commission (ASIC) Market Analysis and Intelligence (MAI) system is an advanced, high-speed surveillance tool used by ASIC to monitor Australian financial…
- Risk-based Supervision Program for Securities Regulators from the Americas
Training · 22 March 2026
This five-half-day virtual program (Mar 23rd - Mar 27th, 2026), hosted by Toronto Centre in partnership with IOSCO, was designed to help securities regulators’ understanding of risk-based supervision…
- The promises and pitfalls of SupTech for corporate governance-related enforcement
Report · 1 June 2021
Digital technologies and data hold the potential to automate and improve the efficiency and effectiveness of regulatory and supervisory processes, which have become increasingly complex given the…
- The Role of Big Data, Machine Learning, and AI in Assessing Risks: A Regulatory Perspective
Report, Speech · 17 August 2018
Artificial Intelligence, perhaps better known by its two-letter acronym “AI,” has been the fodder of science fiction writing for decades. But the technology underlying AI research has recently found…
- Benoît Cœuré: The new frontier of payments and market infrastructure: on cryptos, cyber and CCPs
Speech · 15 November 2018
In this keynote delivered at the Economics of Payments IX conference, Benoît Cœuré, Chair of the Committee on Payments and Market Infrastructures (CPMI), outlines the "3C Challenge"—Cryptos, Cyber…
- Network Analysis for Conglomerate Supervision
Solution · 31 October 2019
A system designed to enhance early warning capabilities for behavioral and financial risks by applying network analysis to high-frequency, real-time capital market data, allowing the identification…
- Electronically Advanced Submission interface (EASi) platform
Solution · 21 September 2020
The EASi platform (Electronically Advanced Submission interface) is a suptech solution developed by SQL Power to automate the end-to-end regulatory lifecycle. Locally implemented for the Trinidad and…
- SQL Power implementation revolutionizes securities regulation in Trinidad and Tobago with launch of new EASi Platform
News · 21 September 2020
SQL Power announced the implementation of its supervisory platform, the SQL Power Suite, at the Trinidad and Tobago Securities and Exchange Commission (TTSEC) in September 2020, marking a major step…
- Commodity Futures Trading Commission replaces 1990s-era system with Nasdaq's advanced market surveillance technology
Solution, News · 27 August 2025
The United States CFTC has deployed Nasdaq's market surveillance platform to replace its decades-old legacy system, providing automated alerts and cross-market analytics for the first time. The…
- Tool for integrated capital market surveillance (PSX–SECP Market Monitoring System)
Solution, News · 23 September 2025
The PSX–SECP Market Monitoring System is an integrated surveillance framework established through a 2025 Memorandum of Understanding between the Pakistan Stock Exchange (PSX) and the Securities and…
- FILLIP - large language model-based chat tool
Solution · 30 April 2025
In 2024, FINRA introduced an internal LLM-based chat capability, called FILLIP, that employees have leveraged to support a range of functions, such as summarizing and analyzing information, comparing…
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