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RegTech Insight Awards USA Shortlist 2021

See our list of nominated companies across the RegTech Insight awards categories

November 2021


#RTIAwards

Best Sell-Side Regulatory Data Solution

  • AQMetrics – AQMetrics Platform
  • Moody’s Analytics – Structured Finance Portal Regulatory Module
  • n-Tier – Compliance Workbench solution
  • S3
  • Trading Technologies – TT Score
  • Bloomberg
  • Refinitiv

Best Buy-Side Regulatory Data Solution

  • AQMetrics – AQMetrics Platform
  • Compliance Solutions Strategies – Regulatory Book of Record (RBOR)
  • Moody’s Analytics – Structured Finance Portal Regulatory Module
  • S3
  • SS&C Technologies – SS&C Regulatory Reporting Platform
  • Bloomberg

Best Data Management Solution for Buy-Side Regulatory Compliance

  • AQMetrics – AQMetics platform
  • AxiomSL –  Data Integrity and Control Platform
  • Compliance Solutions Strategies – Regulatory Book of Record (RBOR)
  • Datactics – Self-Service Data Quality
  • LIST – LookOut
  • Moody’s Analytics – Structured Finance Portal Regulatory Module
  • SmartStream Technologies – SmartStream Reference Data Utility (RDU)
  • SS&C Technologies – SS&C’s Regulatory Reporting Platform

Best Data Management Solution for Sell-Side Regulatory Compliance

  • AQMetrics – AQMetrics Platform
  • AxiomSL – Data Integrity and Control Platform
  • Datactics – Self-Service Data Quality
  • n-Tier – Compliance Workbench solution
  • SmartStream Technologies – SmartStream Reference Data Utility (RDU)

Best Reporting Solution for CFTC Reporting

  • AQMetrics – AQMetrics
  • Kaizen Reporting – Kaizen Reporting

Best Reporting Solution for Consolidated Audit Trail (CAT)

  • Gresham Technologies – Clareti Connect regulatory services
  • ION Markets – Fidessa CAT Reporting Service
  • n-Tier – Compliance Workbench solution
  • S3
  • SS&C – SS&C CAT Reporting Portal

Best Data Solution for KYC

  • BlackSwan Technologies – ELEMENT of Compliance – KYC
  • Bureau van Dijk, a Moody’s Analytics company – Orbis
  • Cynopsis Solutions – Artemis
  • eClerx Markets – eClerx Compliance Manager
  • kompany – KYC API
  • La Meer Inc. – GRACE for AML

Best KYC Solution for Client On-Boarding

  • ACA Group – ComplianceAlpha®
  • BlackSwan Technologies – ELEMENT of Compliance
  • Cynopsis Solutions – Ares
  • iMeta Technologies Ltd. – iMeta CLM
  • La Meer Inc. – GRACE For AML
  • Bureau van Dijk, a Moody’s Analytics company – Compliance Catalyst
  • Shufti Pro
  • smartKYC
  • Fenergo

Best Vendor Solution for Sanctions and PEPs data

  • ACA Group – ComplianceAlpha®
  • Bureau van Dijk, a Moody’s Analytics company – Compliance Catalyst
  • La Meer Inc. – GRACE for AML Monitoring

Best Transaction Cost Analysis Solution for Best Execution

  • ACA Group – ComplianceAlpha®
  • eflow Global – TZ
  • LIST – LookOut
  • S3

Best e-Comms Surveillance Solution

  • KX – KX Surveillance
  • relativity – relativity trace
  • Shield – Shield’s Communications Compliance Platform
  • SteelEye
  • Theta Lake – Theta Lake Security and Compliance Suite
  • VoxSmart – VoxSmart Communication Surveillance (VCS)
  • NICE Actimize

Best Vendor Solution for Financial Crime

  • ACA Group – ComplianceAlpha®
  • Bureau van Dijk, a Moody’s Analytics company – Compliance Catalyst
  • Clausematch – Clausematch
  • Cynopsis Solutions – Athena
  • Deduce – Deduce Customer Alerts
  • Duality Technologies – Duality SecurePlus®
  • Hummingbird – Hummingbird
  • La Meer Inc. – GRACE for AML Monitoring
  • smartKYC – smartKYC – Continuous Adverse Media Monitoring

Best ESG Regulatory Solution

  • Alyne
  • AxiomSL – Data Integrity and Control Platform
  • Bloomberg LP
  • Compliance Solutions Strategies
  • illumis
  • La Meer Inc. – GRACE ESG for Corporates
  • smartKYC – smartKYC – ESG Screening
  • SS&C Technologies – SS&C’s ESG Reporting Solution

Best Data Solution for FRTB

  • AxiomSL – Data Integrity and Control Platform
  • Bloomberg LP
  • Refinitiv
  • ICE Data Services

Best Software Solution for FRTB

  • AxiomSL – Data Integrity and Control Platform
  • Ticksmith
  • ICE Data Services
  • Goldensource
  • IHS Markit

Best Data Privacy Solution

  • ActiveNav – Discovery Center
  • Canopy Software
  • La Meer Inc. – GRACE for ITGRC
  • OneTrust – OneTrust Athena

Best Regulatory Compliance Solution for LIBOR

  • ActiveNav
  • SS&C – SS&C Intralinks Virtual Data Room
  • Numerix

Best Analytics Solution to Address Capital Requirements/Liquidity Risk

  • AdvantageData
  • AQMetrics – Liquidity Risk Control
  • ElysianNxt – ElysianNxt for Capital and Liquidity management
  • Moody’s Analytics – RiskAuthority™, RiskConfidence™, Banking Cloud Credit Risk
  • SmartStream Technologies – SmartStream Intraday Liquidity Stress Testing
  • SS&C Technologies – SS&C Algo Liquidity Risk and Algo Regulatory Capital RWA solution

Best Vendor Solution for Managing Conduct Risk

  • ACA Group – ComplianceAlpha®
  • Clausematch – Clausematch
  • La Meer Inc. – GRACE for Compliance and Conduct Risk
  • MyComplianceOffice
  • SteelEye
  • Theta Lake – Theta Lake Security and Compliance Suite
  • NICE

Best Vendor Solution for Managing Operational Risk

  • ACA Group
  • Acin – Acin Platform
  • ComplySci – Control Room and Conflict Check
  • Fusion Risk Management – Fusion Framework® System™
  • illumis
  • Intelligo – Clarity
  • La Meer Inc. – GRACE Enterprise GRC
  • The Technancial Company part of LIST – JANUS Risk Manager
  • Wolters Kluwer- OneSumX Operational Risk

Best Risk Calculation Engine for Regulatory Compliance

  • Alyne
  • AxiomSL- Data Integrity and Control Platform
  • ElysianNxt
  • Giant Oak – GOST (Giant Oak Search Technology)
  • Moody’s Analytics – RiskAuthority™, Banking Cloud Credit Risk

Best Vendor Solution for FATCA / CRS

  • AxiomSL – Data Integrity and Control Platform
  • SS&C – SS&C Tax Reporting Solutions and Services
  • Trans World Compliance, Inc. – CRS/FATCA One

Best Compliance as a Service Solution

  • ACA Group
  • AQMetrics – AQMetrics Platform
  • Compliance Solutions Strategies
  • CT Corporation, a Wolters Kluwer company – CT Managed Services
  • ElysianNxt
  • Evidology Systems – QED (Quality and Evidence Driven)
  • Hummingbird – Hummingbird
  • LIST – LookOut as a Service (LaaS)
  • StarCompliance – STAR Platform

Best Regulatory Reporting Solution

  • ACA Group
  • AQMetrics – AQMetrics Platform
  • AxiomSL – Data Integrity and Control Platform
  • Compliance Solutions Strategies
  • eflow Global – TZ & TZTR
  • Kaizen Reporting – ReportShield (Accuracy Testing)
  • KX – KX Streaming Analytics
  • LIST – LookOut
  • Moody’s Analytics – Structured Finance Portal Regulatory Module
  • n-Tier – Compliance Workbench solution
  • S3
  • SS&C Technologies – SS&C’s Regulatory Reporting Platform
  • Wolters Kluwer – OneSumX for Finance, Risk & Regulatory Reporting

Best Solution for Records Retention

  • ActiveNav – Discovery Center
  • LIST – LookOut
  • IPC
  • Shield

Best AI Solution for Regulatory Compliance

  • ACA Group – ComplianceAlpha®
  • BlackSwan Technologies – ELEMENT of Compliance
  • Clausematch – Clausematch
  • Cynopsis Solutions – Artemis
  • Giant Oak – GOST (Giant Oak Search Technology)
  • Moody’s Analytics – AI Review
  • OneTrust – OneTrust Athena
  • Shield – Shield’s Communications Compliance Platform
  • Shufti Pro
  • smartKYC
  • SmartStream Technologies – SmartStream Air and SmartStream Affinity
  • SS&C Technologies – SS&C’s Regulatory Reporting Platform
  • Theta Lake – Theta Lake Security and Compliance Suite

Best Regulatory Alert Management Solution

  • Entify
  • Red Box
  • KX
  • Caspian
  • RegBot

Most Innovative Technology for Regulatory Compliance

  • ACA Group – ComplianceAlpha®
  • Alyne
  • Compliance Solutions Strategies – Regulatory Book of Record
  • Cynopsis Solutions – Artemis
  • Eventus Systems – Validus platform
  • Giant Oak – GOST (Giant Oak Search Technology)
  • Hummingbird – Hummingbird
  • illumis
  • KX – KX Surveillance
  • La Meer Inc. – GRACE
  • n-Tier – Compliance Workbench solution
  • SmartStream Technologies – SmartStream Reference Data Utility (RDU)
  • SS&C Technologies – SS&C’s Regulatory Reporting Platform
  • Theta Lake – Theta Lake Security and Compliance Suite
  • VoxSmart – VoxSmart Trade Reconstruction

Best Regulatory Consultancy – North America

  • ACA Group
  • Compliance Solutions Strategies – Compliance Services
  • n-Tier – Compliance Workbench solution