Reporting/compliance

1646 articles tagged with this keyword

/Reporting/compliance

Pictet deploys Commcise broker research platform

Commcise, the multi award-winning provider of integrated commission management and research evaluation solutions for investment management firms, today announced the successful implementation of CommciseBUY at Pictet Asset Management (Pictet AM) who manage over EUR150bn in a range of asset classes globally.

/Reporting/compliance

GreenKey awarded speech-to-text patent

GreenKey Technologies, creator of an award-winning, team-based, voice collaboration tool for financial and regulated markets, announced today that the U.S. Patent and Trademark Office has granted the company a second patent for its latest innovation: speech-to-text for the financial markets, incorporating custom processes for language model creation; model training; error correction, and accelerated transcription to allow for fast, accurate transcription of domain-specific conversations and instructions.

/Reporting/compliance

Esma updates MiFID II guidelines

The European Securities and Markets Authority (ESMA) has issued today an update of its Guidelines on transaction reporting, order record keeping and clock synchronisation under the Markets in Financial Instruments Directive (MiFID II).

/Reporting/compliance

Automation leads the way in expense compliance

Chris Baker, Managing Director, EMEA North & South Africa, Concur, speaks at the SAP Financial Services Forum about developments in expense compliance and the role automation plays in end to end management solutions and quantifying value in terms of cost and policy compliance.

/Reporting/compliance

CBA blames money laundering reporting failures on ATM coding error

Commonwealth Bank of Australia has blamed a three-year coding error in its intelligent deposit machines (IDM) for breaches of anti-money regulations.

/Reporting/compliance

NEX Optimisation readies Harmony messaging network for MIFID II

NEX Optimisation, which helps clients reduce complexity and optimise resources across the transaction lifecycle, announces today that it has enhanced its existing messaging services to help clients prepare for the 3 January 2018 MiFID II go-live.

/Reporting/compliance

EBA consults on fraud reporting requirements under PSD2

The European Banking Authority (EBA) launched today a public consultation on its draft Guidelines on reporting requirements on statistical data on fraud under the revised Payment Services Directive (PSD2).

/Reporting/compliance

Deutsche Börse Regulatory Reporting Hub partners with Reg.Tek.Solutions and Risk Focus

The Regulatory Reporting Hub of Deutsche Börse Group has launched a partnership with Risk Focus and its software subsidiary, RegTek.Solutions, headquartered in New York.

/Reporting/compliance

Actiance brings compliance to WeChat and WhatsApp

Actiance, the leader in communications compliance, archiving, and analytics, today announced support for the capture of encrypted messaging platforms WeChat and WhatsApp via Socialite ─ its platform for compliance across public social media channels.

/Reporting/compliance

SteelEye joins UnaVista partner programme

SteelEye, the compliance technology and data analytics firm, today announces that it has joined UnaVista's Partner Programme.

/Reporting/compliance

SEC deems DAO tokens and ICOs as securities

The Securities and Exchange Commission issued an investigative report today cautioning market participants that offers and sales of digital assets by "virtual" organizations are subject to the requirements of the federal securities laws.

/Reporting/compliance

TP ICAP appoints Bloomberg Entity Exchange for key MiFID II compliance role

TP ICAP, the world’s largest interdealer broker, has selected Bloomberg Entity Exchange as the chosen platform to help clients register onto new trading venues operated by its broking businesses, including Tullett Prebon and ICAP.

/Reporting/compliance

Actiance creates ISV developer programme

Actiance, the leader in communications compliance, archiving, and analytics, today announced its ISV Developer Program.

/Reporting/compliance

SIX deploys new regulatory data platform

The platform developed by SIX, in close consultation with the industry, enables the electronic and efficient exchange of regulatory data and documentation between wealth managers, assets managers, banks and other market participants.

/Reporting/compliance

Encompass cozies up to Dow Jones

encompass corporation, creator of Know Your Customer (KYC) software for banking, finance, legal and accountancy, today announced that it is partnering with Dow Jones Risk & Compliance.

/Reporting/compliance

Encompass names Paul Charmatz as MD

Leading compliance data enablement platform, encompass corporation, has appointed Paul Charmatz as Managing Director to focus on their go to market strategy.

/Reporting/compliance

Finra implements treasury transaction reporting platform

A new requirement for securities firms to report certain transactions in Treasury securities to FINRA was implemented successfully yesterday, providing regulators with a new tool to increase understanding and enhance surveillance of this bellwether market.

/Reporting/compliance

Synechron and Quantexa partner

Synechron Inc., a global financial services consulting and technology services provider, has today announced its partnership with Quantexa, a specialist entity resolution and network analytics software provider.

/Reporting/compliance

South Africa's Thisisme promises three-minute KYC verification

An African record has been set for the FICA process which used to take anywhere from two days to two weeks.

/Reporting/compliance

IHS Markit launches RPA Manager for buy-side

IHS Markit (Nasdaq: INFO), a world leader in critical information, analytics and solutions, today announced the launch of RPA Manager, a comprehensive service helping asset managers acquire investment research in compliance with MiFID II.