Reporting/compliance

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Immuta reports back on FCA TechSprint

Immuta today announced participation in an international effort to bring financial regulation into the machine age.

/Reporting/compliance

Despite growth in regtech adoption, widespread manual processes leave firms exposed

Only 2% of capital markets firms have a fully automated compliance support program, according to an Aite Group and Cordium survey.

/Reporting/compliance

Governor Software completes FCA TechSprint

Governor Software Ltd has successfully completed the Financial Conduct Authority and Bank of England convened TechSprint.

/Reporting/compliance

Ustocktrade Securities selects Wolters Kluwer’s GainsKeeper Brokerage Software

Wolters Kluwer today announced that Ustocktrade Securities, Inc. (USTS), the first alternative trading system (ATS) designed exclusively for retail investors, has selected Wolters Kluwer’s GainsKeeper Brokerage solution for cost basis reporting.

/Reporting/compliance

Fscom appoints FCA veteran to head up Assurance division

fscom has appointed James Borley as Director and new Head of Assurance.

/Reporting/compliance

Bank spending on RegTech for fixed income trading desks tops $20 billion

Fixed-income dealers are spending as much as $20 billion a year on RegTech (regulatory technology) to help them comply with the raft of regulations covering their trading desks, according to a new report from Greenwich Associates.

/Reporting/compliance

Credit reference agencies combine to help lenders prepare for GDPR

Callcredit, Equifax and Experian are launching an industry-wide Credit Reference Agency Information Notice (CRAIN) in readiness for the implementation of the new General Data Protection Regulation (GDPR) on 25 May 2018.

/Reporting/compliance

Regis-TR and IHS Markit to collaborate on interoperable suite for SFTR

REGIS-TR, the pan-European leader in G20 trade repository services will collaborate with IHS Markit, a market leader in critical information, analytics and solutions, to provide an interoperable, full service reporting solution for Securities Finance Transaction Regulation (SFTR) requirements.

/Reporting/compliance

AxiomSL partners GridCon for German reg reporting

AxiomSL, the leading provider of regulatory reporting and risk management solutions, today announces the strategic partnership with German technical and regulatory support provider GridCon to leverage its German reporting know-how and extensive knowledge on data models for risk free data migration and address the new client data transition demand in the market.

/Reporting/compliance

Quantexa hires ex-Deutsche Bank & RBC AML global head Karim Rajwani

Quantexa, the big data start-up, has hired Karim Rajwani, as Global AML Advisor. He has has joined from Deutsche Bank where he was Money Laundering Reporting Officer and Global Head of Financial Intelligence.

/Reporting/compliance

Currencycloud appoints Tanya Ziv as chief compliance officer

Leading international payments platform, Currencycloud, has appointed Tanya Ziv as its new Chief Compliance Officer and Money Laundering Reporting Officer (MLRO).

/Reporting/compliance

JPMorgan fined $1.25 million for failing to screen or fingerprint employees

The Financial Industry Regulatory Authority (FINRA) today announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or 95 percent, of its non-registered associated persons from January 2009 through May 2017.

/Reporting/compliance

Thomson Reuters introduces APA Connectivity for MiFID II trade reporting

Thomson Reuters has introduced APA Connectivity, an efficient and customizable solution for the financial services industry to comply with trade reporting requirements for Approved Publisher Arrangements (APAs) under MiFID II, set to be implemented on January 3, 2018.

/Reporting/compliance

CBA introduces daily card limits for ATM deposits

Since the second half of 2015, Commonwealth Bank has made significant progress on a program of action strengthening policies and processes relating to our obligations under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006.

/Reporting/compliance

Luxembourg Bankers Association and Luxembourg University launch KYC/DLT research project

The Luxembourg Bankers’ Association (ABBL) and its Foundation for Financial Education in cooperation with the University of Luxembourg and its Interdisciplinary Centre for Security, Reliability and Trust (SnT) launched a joint research project on the distributed ledger prototype and data analytics for KYC (Know Your Customer).

/Reporting/compliance

Asset Control announces DSB integration for OTC derivatives and MiFID II compliance

Asset Control today announces its integration with the Derivatives Service Bureau (DSB), extending its AC Plus data management platform to support ISIN creation and reference data lookup for OTC derivative instruments for full MiFID II compliance.

/Reporting/compliance

Hedgd joins UnaVista partner programme

Hedgd, whose technology gives firms full visibility over transactions throughout the trade lifecycle, has joined UnaVista’s Partner Programme.

/Reporting/compliance

LSE's UnaVista and MTS collaborate for SFT reporting

London Stock Exchange Group today announces that MTS and UnaVista are collaborating to offer a regulatory reporting solution for firms who execute Securities Financing Transactions (SFTs), such as repo trades.

/Reporting/compliance

Hermes signs with Red Deer for post-MiFID research compliance

Red Deer, a next-generation financial technology company dedicated to enhancing the performance of active investment managers, is pleased to announce that its MiFID II research valuation management solution has been selected by Hermes Investment Management (Hermes), the £30.1 billion manager.

/Reporting/compliance

OCBC taps ThetaRay for AI-based AML screening project

On any one typical work day, an OCBC Bank anti-money laundering (AML) compliance analyst would log into the bank’s transaction monitoring system and find up to hundreds of potentially suspicious transactions he or she had to review.

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