RegTech Insight Awards Shortlist 2021

Best Sell-Side Regulatory Data Solution

• Bloomberg
• Derivatives Service Bureau (DSB)
• ICE Data Services – Liquidity Indicators Service
• Moody’s Analytics – Moody’s Analytics Banking Cloud
• Refinitiv
• SIX

Best Buy-Side Regulatory Data Solution

• Bloomberg
• ICE Data Services – Liquidity Indicators Service
• Moody’s Analytics – Structured Finance Portal Regulatory Module
• NeoXam – NeoXam DataHub
• SIX

Best Data Management Solution for Buy-Side Regulatory Compliance – NEW FOR 2021!

• AxiomSL
• JUMP Technology – JUMP Data Management
• LIST – LookOut
• Moody’s Analytics – Structured Finance Portal Regulatory Module
• OneMarketData
• RoZetta Technology – DataHex – Data Management & Securities Master Service
• Shield
• SmartStream Technologies – SmartStream Reference Data Utility (RDU)
• SteelEye
• ume Solutions – ume
• Verint – Financial Compliance Capture
• Xenomorph

Best Data Management Solution for Sell-Side Regulatory Compliance – NEW FOR 2021!

• Alveo – PaSS
• AxiomSL
• iMeta Technolgies Ltd – iMeta
• LIST – LookOut
• Moody’s Analytics – Moody’s Analytics Banking Cloud
• RoZetta Technology – DataHex – Data Management & Securities Master Service
• SmartStream Technologies – SmartStream Reference Data Utility (RDU)
• SteelEye
• Verint – Financial Compliance Capture
• Xenomorph

Best Data Privacy Solution

• ACA Compliance – ACA Aponix
• OneTrust
• SaltDNA
• SecuPi – SecuPi Data-Centric Security and Compliance
• Xtendr – Xtendr ZeroKnowledge Data Sharing

Best Data Solution for FRTB

• AxiomSL – AxiomSL’s Single Platform for FRTB Reporting
• Bloomberg
• ICE Data Services – ICE FRTB Solution
• Refinitiv – Refinitiv Trade Discovery
• Xenomorph

Best Software Solution for FRTB

• Alveo – Alpha
• AxiomSL – AxiomSL’s Single Platform for FRTB Reporting
• ICE Data Services – ICE FRTB Real Pricing Evidencing Service
• IHS Markit – Traded Market Risk for FRTB
• Numerix – Numerix FRTB
• SS&C Algorithmics – SS&C Algorithmics FRTB

Best Regulatory Compliance Solution for LIBOR

• KX
• Numerix – Numerix Oneview for the LIBOR Transition
• SIX
• Solidatus

Best Regulatory Compliance Solution for IFR / IFD

• AxiomSL
• BearingPoint RegTech – Abacus360 Banking – IFR/IFD module
• Regtify – RegtifyOne
• Wolters Kluwer

Best Solution for Securities Financing Transactions Regulation (SFTR)

• AxiomSL – AxiomSL’s SFTR Solution – In An Innovative Regime-Agnostic Ecosystem
• BearingPoint RegTech – ABACUS/Transactions – SFTR module
• Cappitech by IHS Markit
• DTCC – DTCC Report Hub for SFTR
• IHS Markit and Pirum Systems – SFTR Solution
• SIX – SFTR Data Service
• SmartStream Technologies – SmartStream RDU (reference data utility)

Best Data Solution for KYC

• Accuity
• Alacra Inc – an Opus Global Company
• Arachnys
• Bureau van Dijk, a Moody’s Analytics company – Orbis
• ComplyAdvantage
• Diligencia – ClarifiedBy.com
• eclerx – Compliance Manager Service
• Xtendr – Xtendr Shared KYC Utility
• Know Your Customer
• Kyckr – Kyckr Registry Portal
• norbloc AB – Fides
• Phonemix Ltd. (a.k.a Fincom.co) – Database Screening
• Pole Star – PurpleTRAC
• Quantexa
• SaltDNA
• SmartSearch – Triple Check
• UBO Service – UBO Dashboard and UBO API

Best KYC Solution for Client On-Boarding

• ACA Compliance Group
• Bureau van Dijk, a Moody’s Analytics company – Compliance Catalyst
• Delta Capita Limited – Karbon
• eclerx – Compliance Manager Service
• Encompass Corporation – Encompass
• Fenergo
• Flaminem – Flaminem KYC
• iMeta Technologies Ltd. – iMeta
• iSPIRAL – RegTek+
• Know Your Customer
• KYC Portal
• Kyckr – Kyckr API
• La Meer Inc. – GRACE Integrated Client Management
• NICE Actimize – NICE Actimize Customer Due Diligence (CDD/KYC)
• norbloc AB – SANCUS + FIDES
• Sedicii – KYCexpert
• SignDesk – scan.it
• smartKYC
• SmartSearch – Triple Check
• UBO Service – UBO Dashboard and UBO API

Best ESG Regulatory Solution

• Alveo
• ICE Data Service – ICE Climate Risk Service
• Pole Star – PurpleTRAC
• smartKYC
• Solidatus
• Supply Wisdom

Best Vendor Solution for Benchmark Regulation

• KX
• SIX
• Solidatus

Best Analytics Solution to Address Capital Requirements/liquidity Risk

• ICE Data Services – Liquidity Indicators Service
• Moody’s Analytics – Capital Risk Analyzer, RiskConfidence™ ALM, and CAP™
• Regtify – RegtifyOne
• SmartStream Technologies – TLM Cash and Liquidity Management – Intraday Liquidity

Best Vendor Solution for Managing Conduct Risk

• ACA Compliance Group – ComplianceAlpha®
• Behavox – Behavox Compliance/Behavox Voice
• Digital Reasoning
• Elucidate – Elucidate FinCrime Index (EFI)
• MCO – MyComplianceOffice
• NICE
• Phonemix Ltd. (a.k.a Fincom.co) – L1 &L2 Intelligence Processing Automation (IPA)
• TCC Group – Hemisphere
• SteelEye
• txtsmarter – Intelligent Compliance

Best Vendor Solution for Managing Operational Risk

• ACA Compliance – ACA Aponix
• Acin – The Acin Terminal
• Behavox – Behavox Compliance/Behavox Voice
• Elucidate – Elucidate FinCrime Index (EFI)
• Evidology Systems – QED (Quality and Evidence Driven)
• Fusion Risk Management – Fusion Framework System
• iSPIRAL – eGRC
• JUMP Technology
• La Meer Inc. – GRACE Enterprise GRC
• Leading Point – SMART_Dash
• The Technancial Company Ltd. – JANUS Risk Manager (JRM)
• Verint – Automated Verification
• Wolters Kluwer

Best Risk Calculation Engine for Regulatory Compliance

• AxiomSL
• BearingPoint RegTech – Abacus360 Banking Risk
• Behavox – Behavox Compliance/Behavox Voice
• Elucidate – Elucidate FinCrime Index (EFI)
• ICE Data Services – ICE Curves
• KYC Portal
• Moody’s Analytics – Moody’s Analytics RiskAuthority™ , Banking Cloud Credit Risk
• Regtify – RegtifyOne

Best Vendor Solution for Tax Compliance

• AxiomSL – Regulatory Expectations Intensify – as CRS Exemplifies
• BearingPoint RegTech – FiTAX
• Financial Risk Solutions – Invest|Tax™
• ICE Data Services – ICE Financial Transaction Tax
• Meritsoft (a Cognizant company) – Meritsoft Tax Management Solution
• SIX – SIX Tax Score®
• TAINA Technology – Automated FATCA, CRS and Chapter 3 Platfrom
• Xtendr – Xtendr Carousal Tax Fraud Detection Tool

Best Transaction Cost Analysis Solution for Best Execution

• Eflow Global – TZ
• ICE Data Services – ICE Best Execution Service
• LIST – LookOut
• SteelEye
• TRAction Fintech – Best Execution Monitor

Best e-Comms Surveillance Solution

• Behavox – Behavox Compliance/Behavox Voice
• Digital Reasoning
• Fingerprint Supervision
• Global Relay – Global Relay Message / Text for Message
• IPC
• NICE Actimize – SURVEIL-X Communication
• Relativity – Relativity Trace
• Shield
• TeleMessage – Mobile Archiver
• Truphone
• txtsmarter – Intelligent Compliance
• VoxSmart – VoxSmart Communications Surveillance

Best Trade Surveillance Solution for MAD/MAR

• ACA Compliance Group – ComplianceAlpha®
• Eflow Global – TZ
• Eventus Systems – Validus platform
• ION Markets – Market Abuse Monitor
• LIST – LookOut
• Nasdaq SMARTS
• NICE Actimize – NICE Actimize Holistic Surveillance Solutions Suite
• OneMarketData
• RIMES Technologies Corporation – RIMES RegFocus Market Surveillance
• SteelEye
• TradingHub

Best Solution for Records Retention

• LIST – LookOut
• Shield
• SteelEye
• Verint – Financial Compliance Capture

Best Compliance as a Service Solution

• ACA Compliance Group
• Behavox – Behavox Compliance/Behavox Voice
• Cappitech by IHS Markit
• Charles River Development – A State Street Company – Charles River Compliance LawCard® Solution
• Delta Capita Limited – CLM Managed Service
• Elucidate – Elucidate FinCrime Index (EFI)
• Global Relay – Global Relay Archive
• Leading Point – SMART_Dash
• LIST- LookOut
• MAP FinTech
• Moody’s Analytics – Moody’s Analytics Banking Cloud
• StarCompliance – STAR Platform
• Timebeat.app – Timebeat
• ume Solutions – ume

Best AI Solution for Regulatory Compliance

• AQMetrics – AQMetrics risk and regulatory reporting
• Behavox – Behavox Compliance/Behavox Voice
• Corlytics
• Cube
• Delta Capita Limited – Karbon
• Elucidate – Elucidate FinCrime Index (EFI)
• Fincom.co
• ICE Data Services – ICE Credit Risk
• kompany – UBO discovery
• Muinmos – Proprietary regulatory compliance engine: mPASS™, mCHECK™, mRX™
• OneTrust – OneTrust Athena
• Relativity – Relativity Trace
• Shield
• smartKYC
• Symphony (AyasdiAI)
• Tookitaki – Anti-Money Laundering Suite

Best Regulatory Alert Management Solution

• LeadingPoint – SMART_Dash
• NICE
• Thomson Reuters – Regulatory Intelligence

Best Regulatory Reporting Solution

• ACA Compliance Group – Regulatory Reporting Solution
• AQMetrics – AQMetrics reporting platform
• Autorek
• AxiomSL
• BearingPoint RegTech – Abacus360 Banking
• Business Reporting – Advisory Group – ATOME Platform
• Cappitech by IHS Markit
• DTCC – Global Trade Repository service (GTR)
• Eflow Global – TZ
• Financial Risk Solutions – Invest|Pro™
• IHS Markit – Integrated Reporting
• Know Your Customer
• LSEG
• MAP FinTech
• Moody’s Analytics – Structured Finance Portal Regulatory Module
• SmartStream Technologies – SmartStream RDU (reference data utility)
• TRAction Fintech – Trade Reporting Simplified
• Wolters Kluwer

Best Transaction Reporting Solution (for MiFID/MiFIR/EMIR)

• ACA Compliance Group – ACA Regulatory Reporting Monitoring and Assurance (ARRMA)
• AQMetrics – AQMetrics MiFID II Reporting
• AxiomSL – AxiomSL’s Regime-Agnostic End-to-End Trade and Transaction Reporting Solution
• BearingPoint RegTech – ABACUS/Transactions – MIFIR module
• Cappitech by IHS Markit
• IHS Markit – Integrated Reporting
• Kaizen Reporting
• LSEG
• Qomply Ltd – QomplyTI
• SteelEye
• TRAction Fintech – Trade Reporting Simplified

Best Innovative Technology for Regulatory Compliance

• ACA Compliance Group – ComplianceAlpha®
• BearingPoint RegTech – RegTech Factory
• Behavox – Behavox Compliance/Behavox Voice
• Cappitech by IHS Markit
• Droit
• Evidology Systems – QED (Quality and Evidence Driven)
• ING Bank – SparQ
• LSEG
• MAP FinTech – Polar?s Platform
• Moody’s Analytics – Moody’s Analytics Banking Cloud
• OneTrust DataGuidance
• Shield
• smartKYC
• SteelEye
• TCC Group – High-Performance File Reviews
• Visible Capital
• VoxSmart – VoxSmart Trade Reconstruction

Best Vendor Solution for Financial Crime

• Bureau van Dijk, a Moody’s Analytics company – Compliance Catalyst, Orbis, Grid
• Elucidate – Elucidate FinCrime Index
• Exiger
• Fincom.co
• Hummingbird
• Know Your Customer
• LexisNexis
• Napier – Napier Intelligent Compliance Platform
• NICE Actimize – NICE Actimize Financial Crime Solutions Suite
• RipJar
• SIX – Sanctioned Securities Monitoring Service (SSMS)
• TAINA Technology – Automated FATCA, CRS and Chapter 3 Platfrom
• Tookitaki – Anti-Money Laundering Suite

Best Regulator Project of the Year

• BearingPoint RegTech – Abacus Regulator
• Cappitech by IHS Markit
• ICE Data Services – ICE Climate Risk

Best Regulatory Consultancy – Europe

• 3 Lines of Defence Consulting (3LDC)
• ACA Compliance Group
• DTCC – DTCC Consulting Services
• First Derivatives – Managed Services and Consulting
• Thistle Initiatives