Reporting/compliance

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NatWest pilots AI technology to flag compliance fails in sales conversations

/Reporting/compliance

NatWest pilots AI technology to flag compliance fails in sales conversations

NatWest is trialling the use of artificial intelligence technology from a company set up by a former FSA regulator to monitor and analyse the context of sales conversations recorded between clients and front-life staff.

/Reporting/compliance

Buy-side firms at risk of missing MiFID II deadline

JWG, trusted industry experts in regulatory change management, today announced the results of a recent survey focused on the buy side and its readiness for the incoming Markets in Financial Instruments Directive (MiFID II), effective from January 3, 2018.

/Reporting/compliance

Fscom ships KYC product to streamline client onboarding for fintechs

Today at Money 2020, fscom announced the official launch of its flagship RegTech tool, KYC-Pro, to simplify and streamline the client on-boarding process for FinTechs, while ensuring they meet their regulatory obligations.

/Reporting/compliance

Waymark Tech introduces AI tool to identify crossover between financial regulations

Waymark Tech, a leading provider of regulatory intelligence software, today announced the launch of a new AI-powered tool that automatically identifies regulatory crossovers and conflicts between incoming regulations, such as MiFID II, GDPR, and PRIIPS.

/Reporting/compliance

Ingenico provides PSD2 compliance for online marketplaces

Ingenico ePayments, the online and mobile commerce division of Ingenico Group, today announced a new payment solution designed specifically for online marketplace operators.

/Reporting/compliance

Accuity signs Earthport

Earthport, the payment provider transforming the future of cross-border payments, has chosen Accuity, the leading regtech provider of financial crime compliance, payments and know-your-customer (KYC) solutions, to power its payments platform, giving its clients a faster and more secure international payment service.

/Reporting/compliance

Monzo to solve KYC compliance challenge with Jumio

Jumio, the creator of Netverify Trusted Identity as a Service (TIaaS), has today announced a partnership with Monzo, which will see the digital challenger bank use Netverify to help verify new and existing customers.

/Reporting/compliance

Accuity to provide screening compliance tech to TransferMoney Latvia

TransferMoney Latvia, one of Europe’s fastest growing cloud payment institutions, has selected Accuity to streamline its account and payments screening processes.

/Reporting/compliance

Investment banking research departments face potential losses of up to $240 million by 2020

Quinlan & Associates, an independent strategy consulting firm specialising in the financial services industry, has released a thought leadership paper, ‘A Brave Call,’ looking at the changes in the investment research industry triggered by MiFID II.

/Reporting/compliance

Finastra to support Banco de Mexico with FusionRisk

Mexico’s central bank, Banco de Mexico, has selected Finastra to transform its legacy risk management platform. The central bank expects to deploy FusionRisk with the goal of enabling faster, more sophisticated risk analysis as ever-changing and volatile markets add new layers of complexity to effective risk management for Mexico’s financial system.

OTC Markets cries foul over SEC funding demands

/Reporting/compliance

OTC Markets cries foul over SEC funding demands

Alternative trading system (ATS) operator OTC Markets Group has argued that the Securities and Exchange Commission should revise the proposed fee schedule for the Consolidated Audit Trail (CAT) system the SEC is creating to monitor trading in all exchange-listed equities and options following the 2010 "flash crash".

/Reporting/compliance

Broadridge launches trade reporting solution for SFTR regulatory change

Broadridge Financial Solutions has announced the launch of its trade reporting solution for the European Securities and Markets Authority’s (ESMA) forthcoming Securities Financing Transaction Regulation (SFTR).

UK banks will need to change one million sort codes under ring-fencing rules

/Reporting/compliance

UK banks will need to change one million sort codes under ring-fencing rules

The UK's banks will have to change one million customer sort codes under new ring-fencing rules set to be introduced in 2019.

/Reporting/compliance

Trax and Bats connect for MiFID II equities trade reporting

Trax®, a subsidiary of MarketAxess Holdings, Inc. and a leading provider of regulatory reporting, trade matching and capital market data services, and Bats Europe, a CBOE Holdings, Inc. company and the region’s largest equities exchange operator, today announce plans to offer Trax Approved Publication Arrangement (APA) customers the choice to direct equity trade reports to the Bats APA in order to help market participants comply with MiFID II post-trade transparency obligations.

/Reporting/compliance

SmartStream RDU readies for MiFID

The SmartStream Reference Data Utility (RDU), founded by Goldman Sachs, JPMorgan Chase, Morgan Stanley and SmartStream, today announced a new Markets in Financial Instruments Directive II (MiFID II) reference data service, enabling financial organisations to more easily meet regulatory requirements, which go live in January 2018.

/Reporting/compliance

Commission proposes more robust supervision of central counterparties

The European Commission is today proposing targeted reforms to further improve the financial stability of the European Union.

Monzo may have to freeze some accounts under new money laundering rules

/Reporting/compliance

Monzo may have to freeze some accounts under new money laundering rules

Digital challenger bank Monzo is warning 20,000 customers that it may have to temporarily freeze their accounts if they fail to provide additional verification information under new money laundering regulations.

/Reporting/compliance

ResearchPool launches MiFID II research tool

ResearchPool, a leading global digital platform for investment research, announces the launch of its MiFID II solution for investment firms to manage budget, spending, consume and evaluate research, named Tool for Research Usage and Evaluation (“TRUE”).

/Reporting/compliance

BlackBerry and VoxSmart partner on market surveillance

BlackBerry Limited (NASDAQ: BBRY, TSX: BB) and VoxSmart, a leading mobile surveillance and compliance firm, are announcing today the companies have partnered to help financial services firms comply on time with the European Union’s Markets in Financial Instruments Directive (“MiFID II”).

/Reporting/compliance

IHS Markit launches derivatives collateral management system

IHS Markit (Nasdaq: INFO), a world leader in critical information, analytics and solutions, today announced the launch of Collateral Manager, an end-to-end solution for calculating margin, settling margin calls and managing margin disputes.

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