Compliance
Regnosys to Expand Reach with Bank, Regulatory Implementations
In addition to its work with Isda, the fintech startup also has projects in the works with ING Bank and the FCA.
Regulatory Interest in AI for Surveillance Increasing
Regulators are more engaged with meeting with fintech firms to understand how they can work with AI for compliance.
The Future of Blockchain-Based KYC Utilities
Know your client (KYC) is now more important than ever. With regulatory compliance remaining onerous, capital market firms need to be heavily dependent on the collection, processing and management of client and counterparty data, documentation and…
Tech Mahindra, Balbix Launch AI-Powered Cybersecurity Platform
The platform uses deep learning algorithms to monitor and map potential threats.
FCA to Prioritize Cybersecurity and Innovation amid Brexit
Watchdog releases its annual business plan for 2018 and 2019, with innovation and Brexit listed as clear points of focus.
Former Calastone Asia Head Joins UBS Asset Management
Sebastien Chaker will lead the Asia expansion of UBS’ wholesale funds platform.
FCA Extends Oversight of UK Asset Management Sector
Regulator sets new obligations for senior managers and focuses on investor costs.
Saxo Bank Launches SaxoTraderPro
Danish bank targets active traders and institutional clients with latest platform.
Encompass Opens in Hong Kong to Support Growth in Asia
Hong Kong, China, Singapore and Japan driving demand for automated KYC solutions.
March 2018: Regulatory Watchdogs Show Their Teeth
After some questioned ESMA's resolve, the regulator is stepping up its enforcement efforts. Max reviews how ESMA wants market participants to know that its bite can be worse than its bark.
Esma Probes APAs Amid Mifid Trade Data Issues
Approved Publication Arrangements—a critical component in the new Mifid II European markets regulation—may be falling short of their requirements under the new transparency rules, and have drawn Esma’s attention. By Samuel Wilkes, with additional…
Risk Focus Bows Advisory Services
Formal launch of Regulatory Reporting Advisory service, while Apix is chosen to power Xignite’s CloudAddin.
Trading Technologies Plots Evolution Away from Screens
Chicago vendor touts move away from screens—sort of—and into infrastructure and analytics.
Deep Systems to Launch Indigo for Cross-Asset Crypto Trading
Firm’s technology will allow trading in spot, futures, options, and eventually equity instruments for cryptocurrencies.
Arachnys and Quantexa Partner for KYC
The two firms will integrate their platforms to help automate the identification of gaps in customer information.
Leumi ABL Selects Encompass to Support KYC
Bank Leumi selects Encompass Corp.’s Confirm technology to support KYC compliance processes.
IPC and GreenKey Partner for Speech-to-Text Conversion
IPC will provide audio streams to GreenKey and convert it to useable data.
SEC Releases Updated Cybersecurity Guidance
The regulator added new guidance around cybersecurity disclosure controls and insider trading.
Fintech Fever Grips M&A with Fidessa Acquisition Offer
Temenos looks set to snap up the London-based vendor with a billion-pound deal as 2018 becomes white-hot for mergers and acquisitions.
Fidessa and Temenos—A Bold Move
WatersTechnology's editor-in-chief on the proposed Temenos-Fidessa deal, CEOs-turned-cricket umpires, and fintech maturity.
UPDATE: AxiomSL Drives Industry Collaboration On Open Taxonomy for MAS 610
AxiomSL has convened an industry group to help devise a taxonomy that will simplify compliance reporting for the revised Monetary Authority of Singapore 601 update.
Europe’s Mifid Monster Lurches to Life
January 3 went smoothly for many, but the launch of Europe's far-reaching reform package wasn't without problems.
Client Reporting Remains Top Mifid II Implementation Challenge
A November 2017 survey of fund managers found client reporting was their biggest concern in the lead-up to Mifid II, and it remains so in the weeks following the regulation’s entry into force.
Mifid II and the Emergence of the Connectivity Hub
With the second Markets in Financial Instruments Directive now in effect, firms are still adapting to the new requirements and their long-term implications. Richard Bentley, chief product officer at Ullink, explores how the industry can remain compliant…