Reporting/compliance

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Risk of personal liability affecting bank business decisions

Concern by financial executives about the risks of personal liability appears to be affecting the strategic business decisions they make, according to a global survey of compliance and risk practitioners at financial firms.

/Reporting/compliance

Financial Conduct Authority publishes first set of data under new complaints rules

The Financial Conduct Authority (FCA) has published data on the number of complaints reported by firms under new rules which came into force on 30 June 2016.

/Reporting/compliance

Linedata Icon Retail bids to streamline regulatory support for transfer agents

Linedata (NYSE Euronext: LIN), the global solutions provider dedicated to the investment management and credit industries, today announced a number of initiatives in place to assist clients of Linedata Icon Retail in dealing with the requirements of multiple regulatory reporting.

/Reporting/compliance

Deutsche Bank fined $156.6 million for chat room violations

The Federal Reserve on Thursday announced two enforcement actions against Deutsche Bank AG that will require the bank to pay a combined $156.6 million in civil money penalties.

/Reporting/compliance

Bloomberg and Bats Europe combine for MiFID II reporting

Bloomberg and Bats Europe have today announced they plan to provide Bloomberg customers with the ability to use their respective Approved Publication Arrangements (APA)[1] to fulfil MiFID II transparency reporting requirements.

/Reporting/compliance

Advanced Logic Analytics launches compliance data analytics service

Advanced Logic Analytics (ALA), a provider of enterprise wide big data and finance analytics solutions for buy- and sell-side institutions and other financial firms, is pleased to announce the introduction of the ALA OneLogic for compliance-related obligations, fraud monitoring and risk management.

/Reporting/compliance

FactSet and ONEaccess team up to meet MiFID II challenges

FactSet, a global provider of integrated financial information, analytical applications, and industry-leading service, and ONEaccess, a Visible Alpha company and leading corporate access and research valuation platform, announced today an alliance to provide institutional investor clients with a new suite of tools to track and value research products and services.

/Reporting/compliance

Quoniam selects Axioma Risk

Axioma, a provider of enterprise market risk and portfolio analytics solutions, has extended its relationship with Quoniam, a leading quantitative asset management firm headquartered in Frankfurt, with more than €26 bn in assets under management.

/Reporting/compliance

Jupiter Asset Management takes on Milestone Group’s pControl for NAV oversight

Milestone Group, provider of managed technology solutions for the global investments industry, today announced that Jupiter Asset Management (Jupiter) has gone live with pControl Oversight across its Unit Trusts, SICAVs and Investment Trusts.

/Reporting/compliance

Ignite Sales launches sales compliance monitor for banks

Ignite Sales, Inc. today announced it has launched Sales Compliance Monitor™ at #CBALIVE in Dallas, TX.

/Reporting/compliance

FCA publishes 'near final' rules for MiFID II

The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II.

/Reporting/compliance

RegTech Association launches in Australia with spotlight on growing eco-system

The RegTech Association will officially launch tomorrow with a high-profile event in Sydney, where the first-of-its-kind group will be hosting an exclusive speaker panel, including some of the industry’s key influencers, movers and shakers; who will discuss the state of play and future opportunities for growing the RegTech eco-system in Australia and beyond.

/Reporting/compliance

IHS Markit adds risk scoring and remediation to KY3P platform

IHS Markit (Nasdaq: INFO), a world leader in critical information, analytics and solutions, today announced the addition of many new features to its Know Your Third Party Risk Management platform (KY3P) to further support its rapidly growing customer base.

/Reporting/compliance

To- big-to-fail banks rapped for lax risk practices

The Basel Committee on Banking Supervision today published its latest progress report on banks' implementation of the Principles for effective risk data aggregation and reporting.

/Reporting/compliance

FCA fines former investment banker for sharing confidential information over WhatsApp

The Financial Conduct Authority (FCA) has today fined Christopher Niehaus, a former investment banker, £37,198 for sharing client confidential information over WhatsApp. The FCA found that Mr Niehaus failed to act with due skill, care and diligence.

/Reporting/compliance

Core banks commit to Project Sentinel

After the successful completion of assessments of technology providers in September 2016, a core group of banks have now committed, through Project Sentinel, to the implementation of the solution that has been designed over the last 9 months.

/Reporting/compliance

Dominican Republic's central bank adopts Swift's Sanctions Screening

SWIFT announces today that the Central Bank of Dominican Republic has adopted its Sanctions Screening solution to enhance transparency and combat financial crime.

/Reporting/compliance

Valley National Bank select Nice Actimize for AML compliance

NICE Actimize, a NICE (NICE) business and the industry's largest and broadest provider of a single financial crime, risk, and compliance software platform for the financial services industry has been selected by Valley National Bank to implement a unified financial crime platform initially focused on strengthened anti-money laundering capabilities.

/Reporting/compliance

Wolters Kluwer wins risk reporting tender from Nordea Bank Russia

Wolters Kluwer’s OneSumX Risk and Management Information Systems (MIS) Reporting solutions will be implemented at Nordea Bank Russia (NBR).

/Reporting/compliance

BearingPoint bids for reg reporting utility status with UKRep

Management and technology consultancy BearingPoint, which ranks among the leading providers of Risk and Regulatory Technology (RiskTech/RegTech), proposes a solution which could be set to transform the regulatory reporting environment and bring the banking industry together though it’s single industry utility; UKRep.

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