With increasing scrutiny from global regulators, the complexity of legislation and frameworks, the importance of KYC and AML, and the growing demand for transparency, institutional clients face a formidable challenge: how to remain compliant while driving innovation and growth. Regulatory Technology (RegTech) has emerged as the answer.

The RegTech imperative

Institutional investors operate in a high-frequency, high-volume and high-risk environment where compliance failures can result in significant financial penalties, reputational damage, and operational disruption. RegTech enables firms to automate and streamline their compliance processes, enhance data transparency, and respond rapidly to regulatory changes. It transforms compliance from a reactive obligation into a proactive enabler of business resilience and agility.

A 2025 report from GRC highlights cases of how lapses in compliance – whether due to poor supervision, inadequate systems, or weak certification – has led to enforcement actions by the Financial Industry Regulatory Authority (FINRA), with significant penalties (over $1M) and reputational damage.

What benefits does RegTech deliver?

RegTech is more than a compliance tool – it’s a strategic enabler for institutional clients operating in the complex environment of capital markets. By automating and streamlining regulatory processes, RegTech delivers tangible benefits across operational, financial, and strategic aspects. These include:

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Automated workflows that improve operational efficiency

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Real-time compliance and reporting

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Improved risk visibility, data quality and governance

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Improved audit readiness

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Faster adaptation to evolving regulatory landscapes

What does a trusted RegTech partner look like?

A trusted RegTech partner is more than a technology provider – they are a strategic ally who understands the regulatory landscape and the operational realities of capital markets. They have deep domain experience and expertise and a proven track record of delivery within client organisations. They are AI-native and at the forefront of innovation in application modernisation, cloud technologies and data processing.

Real-world impact

Project highlights

Tier 1 Bank – Data remediation and regulatory compliance

We played a pivotal role in this bank’s regulatory transformation by delivering a comprehensive data remediation programme. This included:

  • Building a global risk data platform with front-to-back data governance model
  • Centralised hubs and dashboards for real-time monitoring
  • Containerised applications; deployed to private cloud

This engagement not only improved the bank’s regulatory posture but also laid the foundation for broader digital transformation. Our work enabled the client to meet regulatory obligations efficiently while enhancing their long-term data governance strategy.

Multinational Bank – Multi-Jurisdictional Regulatory Reporting Modernisation

We partnered with a leading Japanese bank to enhance its regulatory reporting capabilities across multiple jurisdictions. The project focused on real-time and end-of-day reporting for OTC derivatives, ensuring compliance with evolving global standards. Key outcomes:

  • Real-time trade reporting to regulators, improving transparency and responsiveness
  • Enhanced end-of-day reconciliation processes to support audit readiness and operational accuracy
  • Modernised services with improved performance and scalability
  • Full compliance with CFTC (US), ESMA, FCA and Canadian regulatory frameworks

This initiative enabled the client to meet its cross-border compliance obligations while modernising its infrastructure to support future regulatory changes and operational growth.

Global Investment Bank – Pricing Reporting Modernisation

We supported this client to modernise its FIX messaging infrastructure to streamline its price reporting:

  • End-of-day CDS price reporting via FIX connections
  • Data replays, improved query performance and reconciliation
  • Integration with customer credit platform utilising real-time facilities
  • Time series data integration for auditing and monitoring

This initiative exemplifies our ability to deliver high-performance, compliant trading infrastructure that meets the demands of modern capital markets.

Contact us to shape the future of regulatory compliance together.

Mark McKeown is Head of Capital Markets at Version 1.

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