Reporting/compliance

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FCA fines Clydesdale £20 million for PPI complaints mishandling

The Financial Conduct Authority (FCA) has today fined Clydesdale Bank Plc (Clydesdale) £20,678,300 for serious failings in its Payment Protection Insurance (PPI) complaint handling processes between May 2011 and July 2013.

/Reporting/compliance

Trustee Executors Limited selects SS&C Pages reporting technology

SS&C Technologies Holdings, Inc. (Nasdaq: SSNC) today announced Trustee Executors Limited (TEL), the largest provider of third party administration for financial services in New Zealand and leaders in the provision of Trustee, Custodial, Investment Accounting, Unit Pricing and Registry service, has selected SS&C’s reporting solution, Pages.

/Reporting/compliance

Cinnober to offer customers Ancoa market surveillance tech

Cinnober, an independent supplier of multi-asset financial technology for market operators, clearing houses, banks and brokers, and Ancoa, providers of contextual surveillance and insightful analytics for exchanges, regulators, buy and sell-side firms, have entered into a strategic collaboration to provide market surveillance to the global banking sector.

/Reporting/compliance

Malaysian Securities Commission invites submissions from equity crowdfunders

The Securities Commission Malaysia (SC) announced today that operators interested in establishing and operating an equity crowdfunding (ECF) or Shariah-compliant ECF platform can now submit their application to the Securities Commission Malaysia.

/Reporting/compliance

Regis-TR exceeds three billion reports

In April the number of reports received by REGIS-TR, the European trade repository owned by Clearstream (Deutsche Börse) and Iberclear (BME), exceeded 3 billion, three times the number of reports that were received in October of last year.

/Reporting/compliance

Genpact launches wealth management platform

Genpact (NYSE: G), a global leader in designing, transforming, and running intelligent business operations, today announced the launch of Genpact OpenWealth, an end-to-end wealth management service for banks, brokers, insurers and asset managers.

/Reporting/compliance

Eze Software Group enhances commission management software

Eze Software Group, a premier provider of global investment technology, has made several enhancements to its commission management offering.

/Reporting/compliance

Iosco consults on business continuity plans for trading venues and intermediaries

The International Organization of Securities Commissions (IOSCO) today published two consultation reports aimed at further enhancing the ability of financial markets and intermediaries to manage risks, withstand catastrophic events, and swiftly resume their services in the event of disruption.

/Reporting/compliance

Defaqto swaps private equity owner

Defaqto Group, a benchmarking company that provides a number of ratings and data analysis services to financial institutions, has swapped its private equity owners after Foresight Group sold its share in the firm to the management, backed by a majority investment of £24.25m from UK PE firm Synova Capital.

/Reporting/compliance

LSE's UnaVista applies to become a Registered Reporting mechanism for Remit

UnaVista, London Stock Exchange Group’s global regulatory reporting platform, has applied to be a Registered Reporting Mechanism (RRM) ahead of the introduction of REMIT* in October 2015.

/Reporting/compliance

Lombard Risk squares up to EBA and PRA liquidity reporting

Lombard Risk Management plc (LSE: LRM) ("Lombard Risk"), a leading provider of integrated regulatory reporting, collateral management and compliance solutions for the financial services industry, is pleased to announce that REPORTER is actively in use by firms for the creation and submission of regulatory liquidity reporting in line with both the European Banking Authority’s pan-European and local UK regulatory Prudential Regulatory Authority requirements.

/Reporting/compliance

Wafacash signs with Fircosoft for sanctions screening

FircoSoft, the leading global provider of watch list filtering solutions, announced today that money transfer provider, Wafacash, has selected the company’s watch list filtering solution, Firco Continuity to control its money transfer operations against sanctions lists.

/Reporting/compliance

P2P lender RateSetter hires former FSA man Simon Pearse as head of compliance

The UK’s leading peer-to-peer (P2P) lender RateSetter has hired Simon Pearse to join the Company in a new role as Head of Compliance.

/Reporting/compliance

EU court quashes ECB counterparty location policy

The Eurosystem comprises the European Central Bank (ECB) and the national central banks o fthe Member States that have adopted the euro as a common currency.

/Reporting/compliance

P2P lender Landbay implements Jumio authentication service for AML compliance

Jumio, Inc., today announced that P2P lending specialist Landbay has implemented Jumio’s Netverify® to authenticate lenders’ identities, to comply with anti-money-laundering regulations and improve their clients’ user experience.

/Reporting/compliance

Swift adds peer assessments to sanctions testing service

SWIFT announces the addition of Peer Assessment to its Sanctions Testing service.

/Reporting/compliance

Fenergo upgrades regulatory rules engine

Fenergo, the leading provider of Client Lifecycle Management software solutions for investment banks and capital market firms, has announced the launch of its enhanced Regulatory Rules Engine to help financial institutions maximize control over regulatory and operational decisions and processes.

/Reporting/compliance

Asic steps back from demands for intra-day reporting on derivatives transactions

ASIC has amended the ASIC Derivative Transaction Rules (Reporting) 2013 (derivative transaction rules (reporting)) following industry consultation and feedback on Consultation Paper 221 OTC Derivatives Reform: Proposed amendments to the ASIC Derivative Transaction Rules (Reporting) 2013 (CP 221).

/Reporting/compliance

Trunomi launches B2C KYC app

At Finovate 2015, the European showcase of the latest financial technology innovations, Trunomi launches the only mobile app that empowers financial institutions’ customers to control their personal identification data.

/Reporting/compliance

Forrmer Goldman man joins turret outfit Green Key Technologies

Green Key Technologies, provider of voice software designed specifically for traders, announced today the hiring of Steve Van Deusen as Director of Compliance Technology.

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