Reporting/compliance

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Carl Nilson jumps ship to Boat

With business gaining momentum and more clients continuously committing to the Pan-European MiFID II multi-asset trade reporting service TRADEcho, Boat have appointed Carl Nilsen, former Head of Equities at Oslo Bors, as Director of Sales.

/Reporting/compliance

Sycomore Asset Management selects Axioma for risk management

Axioma, a leading provider of enterprise risk and portfolio management solutions, has entered into an agreement with Sycomore Asset Management, a leading French asset manager with €4.6 billion under management.

Swiss government looks to ease rules for fintechs

/Reporting/compliance

Swiss government looks to ease rules for fintechs

A division of the Swiss government has called for an easing of regulations for fintech firms in favour of a more forward-thinking approach, including a special 'fintech' license.

/Reporting/compliance

Swift’s KYC Registry crosses 3,000-member milestone

More than 3,000 financial institutions have signed up to use The Know Your Customer (KYC) Registry, SWIFT’s centralised repository that maintains a standardised set of information about financial institutions required for KYC compliance.

SEC pushes through plans to build giant audit trail

/Reporting/compliance

SEC pushes through plans to build giant audit trail

The Securities and Exchange Commission has approved plans to create a vast Consolidated Audit Trail (CAT) tracking transactions as they pass through US equity and options markets.

/Reporting/compliance

SEC chair Mary Jo White to step down

SEC Chair Mary Jo White, after nearly four years as the agency’s head, today announced that she intends to leave at the end of the Obama Administration.

/Reporting/compliance

Lombard Risk expands sales and product team in Asia Pacific

Lombard Risk Management plc (LSE: LRM), a leading provider of integrated collateral management, regulatory compliance and reporting solutions for the financial services industry, announces the expansion of its product and sales team in Asia Pacific (APAC) as part of its growth strategy in the region.

/Reporting/compliance

Esma asks Commission to delay central clearing for small counterparties

The European Securities and Markets Authority (ESMA) has published today its final report regarding the amended application of the clearing obligation that financial counterparties with a limited volume of activity in OTC derivatives need to comply with under the European Market Infrastructure Regulation (EMIR).

/Reporting/compliance

Mizuho Bank chooses Wolters Kluwer’s OneSumX for regulatory reporting

Mizuho Bank’s Netherlands-based subsidiary has successfully implemented Wolters Kluwer’s OneSumX to provide a solution for risk calculations and multi country regulatory reporting.

/Reporting/compliance

Vermilion selected for private client reporting at Redmayne-Bentley

Vermilion Software (‘Vermilion’), the leading global supplier of client reporting and communications software, is delighted to announce that award-winning private client investment management firm Redmayne-Bentley LLP has chosen Vermilion Reporting Suite as its prime communications platform.

/Reporting/compliance

Latvia's Norvik Banka to fight financial crime with Fico

Analytic software firm FICO announced today that Norvik Banka, one of the oldest commercial banks in Latvia, will use the FICO® TONBELLER® Compliance Solutions to fight money laundering and financial crime.

Latin American banks turn to Swift to combat de-risking threat

/Reporting/compliance

Latin American banks turn to Swift to combat de-risking threat

Eight Latin American central banks have signed up to adopt Swift's sanctions screening service and KYC Registry in an effort to combat the threat posed to the region by de-risking measures imposed in correspondent banking relationships.

/Reporting/compliance

Broadridge launches tech to tackle conflict of interest rules

Broadridge Financial Solutions, Inc. (BR) today announced a new suite of technology driven solutions to help the investment community solve several of the most pressing challenges associated with the upcoming U.S. Department of Labor (DOL) Conflict of Interest Rule.

/Reporting/compliance

Clifford Chance applies AI to unearth legal implications of financial regs

International Law firm Clifford Chance LLP is working with Neota Logic Ltd, providers of intelligent software for legal and compliance, to develop automated solutions for assessing the impacts of regulatory rule changes on financial institutions.

/Reporting/compliance

Banks and brokers failing to deal with regulatory overload

Bankers, brokers and traders are not prepared to address the risks posed by the combination of regulatory pressures worldwide and technological advancements that are disrupting their industries, according to a new global survey published by FIS™ (NYSE: FIS) a global leader in financial services technology.

/Reporting/compliance

BFC Bank signs with iFinancial for AMLtrac

UK-based core banking and anti-money laundering software vendor International Financial Systems (iFinancial) has signed BFC Bank for its anti-money-laundering tool AMLtrac.

/Reporting/compliance

Ontario and Australian securities regulators strike fintech pact

Innovative fintech companies in Australia and Ontario will be able to draw on support from the combined resources of their financial regulators as they seek to operate in the others’ market, under a new agreement.

Abu Dhabi opens fintech RegLab

/Reporting/compliance

Abu Dhabi opens fintech RegLab

Abu Dhabi Global Market (ADGM) has opened the doors to applications from local and international fintech firms to test their services in a sandbox regime under the auspices of a newly-created 'RegLab'.

/Reporting/compliance

Pinsent Masons calls for clearer regulatory guidance on robo-advice

Financial regulation and technology experts at international law firm Pinsent Masons call for end to 'advice versus guidance' debate to avoid hindering innovation in robo advice.

/Reporting/compliance

RegTech company FundApps opens US Office

FundApps, a RegTech startup from London, has officially opened its first US office with a presence in Midtown Manhattan, New York - all without a penny in venture capital or equity funding.

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