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Data Breaches Up 480% in 2018, but is GDPR Compliance the Answer?

The number of data breaches reported by UK financial services firms to the Financial Conduct Authority (FCA) increased by 480% in 2018, up to 145 up from just 25 in 2017. Is this solely down to the new GDPR regime, or are there a wider problems at play – and how can firms leverage new…

Senior Managers & Certification Regime: Six Major Challenges for Financial Firms

The FCA’s Senior Managers and Certification Regime (SM&CR) is topping the list of regulatory challenges for financial institutions in 2019, with the December 9 deadline throwing up new challenges and concerns around the way firms must handle their duties, process their data and implement internal procedures. Martin Lovick, Senior Principal Consultant at governance, risk and…

KRM22 Launches Enterprise Risk Cockpit

KRM22,  a technology and software investment firm with a focus on risk management in capital markets, today announced the launch of the Enterprise Risk Cockpit, a real-time enterprise risk management application for capital markets firms. The Enterprise Risk Cockpit is designed to improve data accuracy and steer clients away from cumbersome spreadsheets towards a more…

Gresham Partners with RegTek Solutions for Strategic Transaction Reporting

Data integrity and control software provider Gresham Technologies has joined forces with regulatory reporting specialist RegTek Solutions in a strategic relationship linking RegTek’s Reconcile.Trade solution with Gresham’s Clareti Platform to offer increased transparency and control over transaction reporting requirements. The Reconcile.Trade platform allows clients to reconcile front-office trading records against data samples provided by competent…

Industry Players React to FCA Concerns Around MiFID II and PRIIPs Disclosure Requirements

The Financial Conduct Authority (FCA) last week published key findings from a supervisory project to assess the effectiveness of disclosure by asset managers and intermediaries on the back of MiFID II and PRIIPs reforms – warning against non-compliance for asset managers failing to disclose all associated costs and charges. However, the findings have provoked strong…

FCA Chief Predicts Cost Savings of up to £1bn from MiFID II Research Unbundling

In his keynote speech on MiFID II at the European Independent Research Providers Association on February 25, UK Financial Conduct Authority (FCA) CEO Andrew Bailey praised the impact of the MiFID II research reforms, but stressed that independent research providers could not force asset managers to acquire their services, and warned that the FCA does…

Refinitiv Partners with Liquid Inc for KYC in Japan

Refinitiv has announced a new partnership with Japan’s Liquid, Inc. to streamline the electronic Know Your Customer (eKYC) process for the Japanese market. The agreement will combine the screening capabilities of Refinitiv’s World-Check One solution with Liquid Inc’s biometric authentication service, LIQUID eKYC, to help financial services providers improve their customer on-boarding and transaction capabilities. Liquid, Inc. will incorporate the risk screening…

TradingTech Summit Discusses Brexit, Market Complexity, Innovation, and More!

A-Team Group’s first TradingTech Summit under the TradingTech Insight brand got off to a great start with Beate Born, executive director of risk and regulatory management at UBS Wealth Management, providing an inspirational industry keynote on the outlook for risk, regulation and sustainability in 2019. The presentation not only set the scene for the summit,…

SmartStream Partners with Numerix on ISDA Collateral Management

Financial software provider SmartStream, has confirmed a new referral agreement between its Transaction Lifecycle Management (TLM) platform and US-based risk technology specialist Numerix. The partnership will support TLM users in complying with the International Swaps and Derivatives Association (ISDA)’s margin requirements for non-centrally cleared derivatives. TLM Collateral Management offers an automated data management solution designed to…

Governor Extends Compliance Capabilities with Two New Partnerships

Governor Software, a provider of risk and oversight solutions for financial executives, has had a busy week this week: with the expansion of its live version of the FCA Handbook to include real-time regulatory news from intelligence firm Corlytics, and a new partnership with risk solutions provider Castlehill to offer enhanced integration of legacy governance,…