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Fed fines HSBC $175 for chatroom chatter

The Federal Reserve Board on Friday announced that it has fined HSBC Holdings plc, London, United Kingdom, and HSBC North America Holdings Inc., New York, New York, $175 million for the firm's unsafe and unsound practices in its foreign exchange (FX) trading business.

/Reporting/compliance

Asic provides guidance on Initial Coin Offerings

ASIC today released guidance to help issuers of initial coin offerings (ICOs) consider their legal obligations when offering coins or tokens.

/Reporting/compliance

RegTech startup Apiax secures $1.5 million in seed funding

Apiax, a RegTech startup transforming complex regulations into easy-to-use digital compliance rules, today announced its Seed Round raise of more than $1.5 Million.

/Reporting/compliance

Corlytics helps create 'intelligent' rule book for FCA

Corlytics, the global leader in regulatory risk intelligence, has helped develop the world’s first intelligent regulatory handbook for the UK’s Financial Conduct Authority.

/Reporting/compliance

Hearsay Systems allies with Microsoft

Hearsay Systems, provider of Advisor Cloud solutions for the financial services industry, announced today at Microsoft Envision a strategic alliance with Microsoft to help financial services firms empower their advisers to be both high-tech and high-touch at scale in the digital age.

/Reporting/compliance

CFTC fines Citi $550,000 for LEI failings

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Citibank, N.A. (CBNA) and Citigroup Global Markets Limited (CGML) (collectively, Citi), for failing to report Legal Entity Identifier (LEI) information for swap transactions properly to a Swap Data Repository (SDR), failing to establish the electronic systems and procedures necessary to do so, failing to correct errors in LEI data previously reported to an SDR, and failing to perform supervisory duties diligently with respect to LEI swap data reporting, all in violation of CFTC Regulations.

/Reporting/compliance

Thomson Reuters adds business data to Clear ID checks

As part of the CLEAR online investigations suite, CLEAR ID Confirm leverages comprehensive, up-to-date public and proprietary data to enable organizations to complete identity verification tasks, including risk evaluation and business vetting.

/Reporting/compliance

Financial crime compliance costs soar

New regulation and advancing criminal methodologies have seen financial crime compliance costs continue to soar in financial institutions in the last two years, according to new research from LexisNexis Risk Solutions, the global information solution provider, a part of RELX Group.

/Reporting/compliance

Iress invests in Australian RegTech firm Lucsan

Australian technology leaders, IRESS and Lucsan, today announced a partnership that will accelerate the application of RegTech in the financial services landscape.

European Commission makes fintech a priority in supervisory shakeup

/Reporting/compliance

European Commission makes fintech a priority in supervisory shakeup

The European Commission is proposing to reform financial supervision across the EU with a renewed focus on new technology developments and the promotion of the emerging fintech sector.

/Reporting/compliance

EquiLend and Trax come together to tackle SFTR reporting

EquiLend and Trax are collaborating on a full front-to-back Securities Financing Transactions Regulation (SFTR) solution to support mutual clients in their SFTR reporting requirements.

/Reporting/compliance

Linedata plugs in new interface to DTCC CTM

Linedata (Euronext Paris:LIN), the global solutions provider dedicated to the investment management and credit industries, today announced the extension of its 10-year strong partnership with The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure.

/Reporting/compliance

Kaizen hires former DTCC man Mooney as regulatory consultant

Leading regulatory reporting assurance company Kaizen Reporting is pleased to announce that James Mooney has joined its team in London as a regulatory consultant.

/Reporting/compliance

Cordium expands MiFID II offering with Infrastructure Collateral Service

Cordium, the market-leading provider of governance, risk and compliance services, is enhancing its comprehensive MIFID II compliance offering for investment firms with the launch of its MIFID II Infrastructure Collateral Service.

/Reporting/compliance

Santander selects Fenergo for streamlined client onboarding

Fenergo, the leading provider of Client Lifecycle Management software solutions for investment, corporate and private banks, has today announced that Santander has selected its core technology solution to achieve a streamlined client onboarding process.

/Reporting/compliance

R3 unlocks regulatory reporting on Corda with Financial Conduct Authority and two global banks

Enterprise software firm R3, the Financial Conduct Authority (FCA), RBS and another major global bank have built a prototype application for regulatory reporting of mortgage transactions on R3’s Corda distributed ledger technology (DLT) platform.

/Reporting/compliance

Metamako selects Avelacom for FPGA connectivity

Global connectivity provider Avelacom announced today that it is now using Metamako, the leading specialist provider of FPGA-enabled, high-performance networking devices, to significantly accelerate its network processing power and keep latency to an absolute minimum.

China's fintechs look at overseas IPOs to raise funds

/Reporting/compliance

China's fintechs look at overseas IPOs to raise funds

The tightened regulatory environment in China is leading number of its largest fintech startups to consider launching initial public offerings (IPOs) overseas in order to raise funds.

/Reporting/compliance

Corlytics appoints new director to European leadership team

Corlytics, the world leader in regulatory risk intelligence, has announced the appointment of Severine Melis-Cooper as the new director of EMEA sales.

/Reporting/compliance

Fortis Insolvency selects encompass verify for KYC compliance

Business and personal insolvency experts, Fortis Insolvency, has selected encompass verify to support and enhance their Know Your Customer (KYC) compliance processes.

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