Reporting/compliance

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Cambridge Blockchain raises $2 million to build out digital identity platform

Cambridge Blockchain, LLC announced the closing of a $2 million convertible note today, with participation from leading technology investors Partech Ventures and Digital Currency Group.

/Reporting/compliance

Redtail Technology and RIA in a Box team up

Redtail Technology, a leading provider of client relationship management (CRM) solutions for financial services firms and RIA in a Box, a compliance software and services business aimed exclusively at registered investment advisory firms, have integrated to allow clients to view and complete tailored regulatory compliance tasks all within the Redtail CRM calendar.

/Reporting/compliance

FCA hits Deutsche Bank with whopping £163 million fine for AML failings

The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December 2015.

/Reporting/compliance

Torstone connects to UnaVista for Mifir reporting

Torstone Technology, a leading provider of securities and derivatives processing software to the global financial markets, today announced that it will connect to London Stock Exchange Group’s UnaVista Approved Reporting Mechanism (ARM).

/Reporting/compliance

Thomson Reuters releases compliance dashboard

Organizations facing regulatory overload can now benefit from powerful new tools to help them better manage their compliance workflow as Thomson Reuters introduces Regulatory Change Management (RCM), its new end-to-end compliance solution.

/Reporting/compliance

Truphone launches multi-mobile SMS recording service

Truphone, the world’s first global mobile network and a leading supplier of regulatory compliant mobile recording has launched a new solution: SMS recording on all devices.

/Reporting/compliance

Financial industry veterans strengthen leadership team at RedOwl

RedOwl, the leading provider of insider risk solutions, today announced the expansion of its senior leadership team.

/Reporting/compliance

DTCC appoints Derek West as chief compliance officer at European trade repository

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced that Derek West, former Senior Director of Derivatives Oversight at the Quebec Autorité des marchés financiers (AMF), has joined the firm as Executive Director and Chief Compliance Officer for the firm’s European Global Trade Repository (GTR) business.

/Reporting/compliance

Esma updates on transaction reporting guidelines under MiFID II

Toward the end of 2016, ESMA published guidelines for transaction reporting under the Markets in Financial Instruments Directive (MiFID II) and Regulation(MiFIR).

/Reporting/compliance

Piraeus Bank selects Quantifi for treasury middle office

Quantifi, a specialist provider of risk, analytics and trading solutions, today announced it has been selected by Piraeus Bank (Piraeus), Greece’s largest bank, in terms of assets, and considered the most innovative in the Greek market.

/Reporting/compliance

AQMetrics get MiFID ready

Leading RegTech company, AQMetrics, today announced new enhancements to its end-to-end risk and compliance solution as part of its award-winning cloud-based platform.

/Reporting/compliance

IHS Markit addresses Section 871(m) Compliance for US equity derivatives

IHS Markit (Nasdaq: INFO), a world leader in critical information, analytics and solutions, today announced the launch of Markit│CTI Tax Solutions for Section 871(m) to address compliance obligations for US equity derivatives.

/Reporting/compliance

Nepalese banks sign up for Swift's sanction screening service

10 Nepalese banks will utilise SWIFT's Sanctions Screening service to support their sanctions compliance.

/Reporting/compliance

Asic lays down the law over ASX outage

ASIC has released a report on the findings of its review of the ASX outage that affected the operation of the Australian equity market on 19 September 2016.

/Reporting/compliance

NAB and CBA rapped over spot FX control failings

ASIC has today accepted enforceable undertakings (EUs) from each of the National Australia Bank Limited (NAB) and the Commonwealth Bank of Australia (CBA) in relation to the banks’ wholesale spot foreign exchange (FX) businesses.

Banks should be liable for scam victims' losses says consumer group

/Reporting/compliance

Banks should be liable for scam victims' losses says consumer group

Consumer group Which? has accused the UK's Payment System Regulator (PSR) of letting banks off the hook by not forcing them to reimburse customers who fall victim to online money transfer scams.

Asic launches licence exemption scheme for fintechs

/Reporting/compliance

Asic launches licence exemption scheme for fintechs

Australia's securities watchdog has released a number of waivers that will enable eligible fintechs to test services without the need to hold an Australian Financial Service licence or to make individual applications to the regulator.

/Reporting/compliance

SEK opts for Wolters Kluwer’s IFRS9 software

The Swedish Export Credit Corporation (SEK) has chosen Wolters Kluwer’s OneSumX to provide its software for International Financial Reporting Standards (IFRS)9 implementation and reporting.

/Reporting/compliance

Börse Berlin implements Scila Surveillance

Börse Berlin, the German exchange founded in 1685, has chosen to implement Scila Surveillance, provided by the Stockholm-based leading independent surveillance technology provider Scila.

/Reporting/compliance

FMSB issues guidelines on surveillance and training in wholesale markets

Using automated voice surveillance systems and surveillance techniques involving Natural Language Processing are among the emerging practices being used to combat the risk of insider dealing and market manipulation, according to new guidelines from the FICC Markets Standards Board (“FMSB”).

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