Reporting/compliance

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/Reporting/compliance

Regtech startup Qumram raises CHF1.5 million from Mundi Ventures

Qumram has announced further investment of 1.5 million Swiss Francs, from the technology-focused venture capital firm, Mundi Ventures.

/Reporting/compliance

Abel Noser ships tool to spot irregular trading patterns

Abel Noser Solutions announced today that it has launched a new trade surveillance product for compliance officers of broker-dealers, investment advisors and exchanges.

/Reporting/compliance

AxiomSL appoints Andrew Wood as country manager for Australia

AxiomSL, the global leader in regulatory reporting, data and risk management solutions, announced the appointment of Andrew Wood as the company’s Country Manager for Australia.

/Reporting/compliance

Swift signs Turkmenistan and Uzbekistan communities to KYC Registry

SWIFT announces today that the financial community in Turkmenistan has signed up to use its Know Your Customer (KYC) Registry, a centralised repository that maintains a standardised set of information about correspondent banks, funds distributors and custodians required for due diligence processes.

/Reporting/compliance

Profile Software launches RiskAvert for capital calculation and reporting

Profile Software, an international financial solutions provider, with a proven track record on delivering risk management solutions across Europe, announced today the launch of RiskAvert its advanced regulatory capital calculation and reporting platform.

/Reporting/compliance

Esma raises red flag over investment firms circumventing MiFID II rulebook

The European Securities and Markets Authority (ESMA) has written to the European Commission to raise its concern over the potential establishment of networks of systematic internalisers (SIs) by investment firms to circumvent certain MIFID II obligations; in particular, the requirements for investment firms operating internal matching systems and executing client orders on a multilateral basis to be authorised as trading venues, and the trading obligation for shares.

/Reporting/compliance

International Compliance Association expands into US

The International Compliance Association (ICA), a global, not-for-profit professional membership body supporting compliance professionals through independently awarded certifications, today announces its expansion into the US, with its primary training partner, International Compliance Training (ICT).

/Reporting/compliance

CIBC plumps for Wolters Kluwer for regulatory reporting

CIBC, a leading Canadian-based global financial institution, has chosen Wolters Kluwer’s OneSumX offering to provide its regulatory reporting software for the U.K. and Asia Pacific region.

/Reporting/compliance

German bourses go live with Scila Surveillance

Börse Hamburg and Börse Hannover, have gone live with Scila Surveillance provided by the Stockholm based leading independent surveillance technology provider Scila.

/Reporting/compliance

IHS Markit and Pirum Systems partner for SFTR reporting

IHS Markit (Nasdaq: INFO), a world leader in critical information, analytics and solutions, today announced that it has partnered with Pirum Systems, the global leader in connectivity and post-trade automation for the securities finance industry, to build a full service Securities Finance Transaction Regulation (SFTR) reporting solution.

Thomson Reuters to buy Clarient and Avox

/Reporting/compliance

Thomson Reuters to buy Clarient and Avox

Thomson Reuters has moved to strengthen its KYC management services and legal entity data by buying Clarient and Avox from the DTCC and its bank partners. Financial terms were not disclosed.

/Reporting/compliance

Erste Group selects Asset Control for PRIIPs and MiFID II compliance

Erste Group Bank AG, one of the largest financial services institutions in Central and Eastern Europe, has selected Asset Control’s AC Plus financial data management platform to help fulfil its PRIIPs and MiFID II regulatory requirements.

/Reporting/compliance

Innovative Systems' FinScan now identifies Ultimate Beneficial Ownership

Innovative Systems, Inc., a leading global provider of enterprise data management and regulatory compliance solutions, today introduced the FinScan Ultimate Beneficial Ownership (UBO) solution.

/Reporting/compliance

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.

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