RegTech, short for Regulatory Technology, refers to the use of digital solutions, platforms and tools to streamline and automate regulatory compliance processes in the capital market industry.
Glossary
Enrich your compliance vocabulary and gain a deeper understanding of regulatory compliance terminology.
RegTech Software
Definition of RegTech Software RegTech software refers to digital solutions designed to streamline compliance with regulations. These platforms are designed to automate regulatory processes, reduce compliance costs and minimise non-compliance risks.
Speak-up Culture
Definition of a Speak-Up Culture at Work A speak-up culture at work refers to fostering an environment where all employees feel safe to raise issues they face in the workplace, such as financial misconduct, disputes, ethical violations and other wrongdoing.
Trading Restrictions for Employees
Trading Restrictions for Employees When employees of investment firms or listed companies in any industry trade company securities via personal accounts, they must ensure that doing so does not negatively affect the market, their employer or their clients.
Whistleblower Software
Definition of Whistleblower Software Whistleblower software refers to digital platforms that facilitate the reporting, tracking and management of confidential reports within organisations.
Whistleblowing in The Workplace
Definition of Whistleblowing in The Workplace Whistleblowing in the workplace is when an employee reports misconduct that they have witnessed as part of their work duties. This can include harassment, discrimination, financial fraud and other legal and ethical breaches.