RegTech Insight Awards USA Shortlist 2023

Best Regulatory Reporting Solution

• Adenza – AxiomSL ControllerView Platform and Solutions
• Droit – Adept
• DTCC – Global Trade Repository (GTR)
• FundApps
• Kaizen Reporting – ReportShield
• KOR Financial
• Moody’s Analytics – Reporting studio
• Novatus Global – Novatus TRA
• n-Tier – Compliance Workbench
• REGnosys – Rosetta
• S&P Global Market Intelligence – Cappitech
• S3 – 605 & 606 Reporting

Best Transaction Reporting Solution

• Adenza – Adenza’s Trade and Transaction Reporting Solution
• Droit – Transaction Reporting
• eflow Global – TZTR
• Gresham Technologies – Connect for regulatory
• Kaizen Reporting – ReportShield
• KOR Financial
• Novatus Global – Novatus TRA
• Oracle Financial Services
• S&P Global Market Intelligence – Cappitech

Best Solution for Sell-Side Regulatory Compliance

• COMPLY
• eflow Global
• Gresham Technologies – Control for regulatory
• Kaizen Reporting – EMIR Refit Toolkit
• Moody’s Analytics – Structured Finance Portal
• n-Tier – Compliance Workbench
• S&P Global Market Intelligence – Cappitech

Best Solution for Buy-Side Regulatory Compliance

• eflow Global
• Kaizen Reporting – EMIR Refit Toolkit
• Moody’s Analytics – Structured Finance Portal
• Orion Governance
• S&P Global Market Intelligence – Cappitech

Best Regulatory Data Solution

• Adenza – AxiomSL ControllerView® Platform
• Bloomberg
• COMPLY
• Moody’s Analytics – Orbis
• Refinitiv, an LSEG business
• RegAlytics
• ZL Tech – ZL UA (Unified Archive)

Best Trade Surveillance Solution

• ACA Group
• eflow Global – TZ
• Eventus – Validus platform
• Nasdaq – Nasdaq Trade Surveillance
• OneMarketData – OneTick Surveillance
• S3 – Trade Surveillance Suite
• Scila Inc – Scila Surveillance
• SteelEye
• TradingHub
• Trillium Surveyor

Best e-Comms Surveillance Solution

• Bloomberg Soteria
• eflow Global – TZ
• GlobalRelay
• NICE Actimize
• Shield
• Smarsh
• SteelEye
• VoxSmart

Best Compliance as a Service Solution

• ACA Group
• Adenza – AxiomSL RegCloud® and Regulatory Change Services
• COMPLY
• FundApps
• Moody’s Analytics – Passfort
• Relativity
• StarCompliance
• Theta Lake – Risk and Compliance Suite

Best Regulatory Intelligence Solution

• Cube Global
• MetricStream
• RegAlytics
• Single Rulebook
• smartKYC – smartEYE
• Thomson Reuters
• VIXIO – Horizon Scanning
• Wolters Kluwer – OneSumX ProViso

Best Solution for Regulatory Change Management

• Adenza – Regulatory Change Serivces for AxiomSL RegCloud®
• Ascent RegTech
• Compliance AI
• Corlytics
• Cube Global
• DTCC – DTCC Report Hub
• La Meer Inc.
• MCO (MyComplianceOffice) – Regulatory Change Manager / Know Your Obligations
• MetricStream
• Refinitiv, an LSEG business
• Wolters Kluwer – OneSumX for Regulatory Change Management

Best Post Trade Solution

• Adenza – Calypso Post-Trade Processing
• Broadridge
• Charles River Development
• London Stock Exchange (LSEG)

Best Solution for CFTC Reporting

• Adenza
• Droit
• DTCC – Global Trade Repository (GTR)
• Kaizen Reporting – ReportShield
• KOR Financial
• S&P Global Market Intelligence – Cappitech

Best Financial Crime Solution

• AML RightSource – AML RightSource AI Automated Investigator
• BlackSwan Technologies – ELEMENT of Compliance
• ComplyPortal – ComplyPortal
• Dow Jones – Dow Jones RiskCenter Financial Crime
• Fenergo
• Moody’s Analytics – Passfort, Grid
• Napier
• NICE Actimize
• Onfido – Onfido Real Identity Platform
• Oracle Financial Services
• Regulo – Regulo Fraud Screening
• SIX – Sanctioned Securities Monitoring Service (SSMS)
• smartKYC

Best Solution for FRTB

• Adenza
• Bloomberg
• Finastra
• Goldensource
• Murex

Best Know Your Customer Solution

• BlackSwan Technologies – ELEMENT of Compliance
• ComplyPortal – ComplyPortal
• Fenergo
• Giant Oak – GOST
• ID-Pal
• LightBeam – LightBeam Spectra
• Moody’s Analytics – Passfort, Orbis, Grid, Kompany
• Onfido – Onfido Studio
• SHUFTI PRO LIMITED
• Sumsub
• ume

Best Client On-Boarding Solution

• AML Partners – RegTechONE
• Encompass Corporation – Encompass
• Fenergo
• Moody’s Analytics – Passfort, Orbis, Grid, Kompany
• Regula
• SHUFTI PRO LIMITED

Best Sanctions and PEPs Solution

• Bloomberg
• Castellum.ai
• Dow Jones – Dow Jones RiskCenter Financial Crime
• FactSet
• Lexis Nexis
• Moody’s Analytics – Orbis, Grid
• Oracle Financial Services
• Refinitiv, an LSEG business
• Regulo
• SIX

Best Data Privacy Solution

• Enveil
• LightBeam – LightBeam PrivacyOps
• OneTrust
• Privitar
• SOLVE – SOLVE Market Data Platform

Best Conduct Risk Solution

• ACA Group
• COMPLY
• Cube Global
• Kroll
• MCO (MyComplianceOffice)
• NICE Actimize
• Smarsh
• Theta Lake

Best Risk Calculation Engine for Regulatory Compliance

• Adenza
• Moody’s Analytics – Banking cloud, RiskAuthority
• SHUFTI PRO LIMITED

Best Analytics Solution to Address Capital Requirements/Liquidity Risk

• Moody’s Analytics – RiskAuthority, RiskConfidence, Banking Cloud Credit Risk
• OpenGamma

Best Solution for Operational Resilience

• Corporator
• Cube Global
• Fusion Risk Management
• MetricStream

Best Solution for Records Retention

• CellTrust – SL2
• LeapXpert – The LeapXpert Communications Platform
• Shield
• Smarsh
• Synechron

Best Cloud-Based Solution for Regulatory Compliance

• Adenza – AxiomSL RegCloud®
• COMPLY
• ComplyPortal
• DTCC – DTCC Report Hub
• FundApps
• KOR Financial
• LightBeam – LightBeam PrivacyOps
• Moody’s Analytics – Passfort
• StarCompliance

Best AI Solution for Regulatory Compliance

• AML Partners – RegTechONE
• BlackSwan Technologies – ELEMENT of Compliance
• COMPLY
• LightBeam – LightBeam Spectra
• Moody’s Analytics  – AI Review
• RegAlytics
• Regulo
• Ripjar – Labyrinth Screening
• Saifr
• Shield
• smartKYC – smartEYE

Best Solution for Digital Transformation in Regulatory Compliance

• +SUBSCRIBE
• Adenza – AxiomSL ControllerView® Platform
• AML Partners – RegTechONE
• COMPLY
• Theta Lake
• Wolters Kluwer – eOriginal

Best Regulatory Consultancy – North America

• ACA Group
• Accenture
• Adenza
• Capco
• Deloitte
• DTCC – DTCC Consulting Services
• EY
• KPMG
• Patomak Global Partners
• PwC