Reporting/compliance

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Esma gives investment firms six-month leeway to fully comply with LEI implementation under MiFIR

The European Securities and Markets Authority (ESMA) has issued today a statement to support the smooth implementation of Legal Entity Identifiers (LEI) requirements under the Markets in Financial Instruments Regulation (MiFIR).

/Reporting/compliance

NTT Data joins Bank of England accelerator

NTT DATA, a leading consulting and IT services provider, has secured a place in the Bank of England’s (BoE) highly regarded FinTech Accelerator programme.

/Reporting/compliance

Bahrain Middle East Bank chooses Wolters Kluwer’s OneSumX

Bahrain Middle East Bank (BMB) has chosen Wolters Kluwer’s OneSumX for Finance solution to provide the basis for its core banking and reporting system.

/Reporting/compliance

China Merchants Bank chooses Wolters Kluwer for regulatory reporting

China Merchants Bank (CMB) has chosen Wolters Kluwer’s OneSumX for Regulatory Reporting to provide its regulatory reporting software for its operations in Luxembourg, following a competitive tender process.

/Reporting/compliance

Commcise partners with RSRCHXchange to provide end-to-end MiFID II research tools

Commcise, the multi award-winning buy-side focused commission management, research valuation and research accounting platform, and RSRCHXchange, the aggregator and marketplace for institutional research, have announced a collaboration to deliver an industry-leading integrated research solution to support the research consumption, valuation and accounting data requirements of buy-side and sell-side firms.

/Reporting/compliance

Castlight Financial launches IFRS data capture tool

Award winning, Glasgow-based fintech company Castlight Financial has launched a powerful customer bank transactions categorisation tool, designed to meet the challenges and opportunities faced by the banking industry in the run up to the implementation of banking standard IFRS 9 on 1 January 2018.

/Reporting/compliance

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.

FCA throws a spotlight on bank operational problems

/Reporting/compliance

FCA throws a spotlight on bank operational problems

UK banks will have to inform customers about the number of operational and security incidents they have been exposed to under new rules designed to improve competition in the retail banking market.

Mizuho Securities picks NRI AI tech to slash time spent on compliance

/Reporting/compliance

Mizuho Securities picks NRI AI tech to slash time spent on compliance

Mizuho Securities is using AI and voice recognition technology from Nomura Research Institute (NRI) to help monitor and analyse communications between its sales reps and investors.

/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.

Big data and software robots crunch compliance costs for Credit Suisse

/Reporting/compliance

Big data and software robots crunch compliance costs for Credit Suisse

Credit Suisse says that a new big data platform and the intelligent deployment of software robots is reversing years of rising compliance costs.

/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).

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