RegTech Insight Blogs The latest content from across the platform
Fidelity Investments Launches RegTech Business to Address Communications Compliance
US asset manager Fidelity Investments has created a new business unit focusing on helping clients manage their public communications in a fully compliant way. The new unit – Saifr – offers human augmentation tools to help financial institutions create, review, and approve public communications to mitigate brand, reputational, and regulatory risk. Saifr emerged from Fidelity…
ESG Reporting Has Come a Long Way, but Has Further to Go
Huge steps have been made in recent years to bring ESG reporting standards up the level of reported financial information – but there’s a long way to go yet. A shortage of data, a lack of harmonisation on standards and the sheer number of vendors are among the key challenges facing the industry as regulators…
Surveillance Platform Operator Shield Raises $15 Million to Fund Sales Expansion
Tel Aviv-based surveillance system provider Shield has raised $15 million to expand its global sales teams and expand its capabilities. The series A funding round was led by Macquarie Capital and OurCrowd. Founded in 2018, Shield uses artificial intelligence (AI) and natural programming language (NPL) to identify market abuse and conduct issues. Its platform monitors…
‘S’ Set to Emerge From E’s Shadow in 2022, But Concerns Remain
Social impact investing is set to emerge as a driving force in sustainable finance this year, with financial institutions expected to consider more than just climate risk in their investment decisions. Data vendors and ratings companies forecast that social factors will become more important in 2022 and that regulators will begin placing more focus on…
EU Asserts ‘Strategic Autonomy’ in Post-Brexit Regulatory Landscape
With Brexit now ‘done’, the EU is taking stock of its regulatory environment as it settles down to life without the UK and its all-important financial capital London. The EU will spend 2022 setting out its regulatory stall as the UK seeks to differentiate itself from its former stablemates. What’s emerging is a multi-pronged regulatory…
The View in 2022 – Another Pivotal Year in ESG
In many ways 2021 was a watershed year for ESG. The European Union’s implementation of Sustainable Finance Disclosure Regulation (SFDR) began in earnest and other regulators around the world – especially in the UK – indicated they may soon follow suit. The COP26 United Nations climate summit later in the year provided a galvanising impetus…
IFPR – The UK’s New Prudential Regime: Is Your Firm Ready?
By Murray Campbell, CASS Business Consultant, AutoRek. The Investment Firm Prudential Regime (IFPR) comes into effect in the UK on January 1, 2022, and will overhaul the prudential regulations that are currently applicable to MiFID investment firms. This will bring significant changes to the way investment firms assess their capital adequacy and monitor associated risks….
Tractiv Raises $2.25 Million to Build Out Tracking Solution to Aid Regulatory Data Validation
Chicago-based data usage monitoring and tracking specialist Tractiv, founded in 2020 under the name TradeX, has raised $2.25 million in seed funding to expand its engineering and sales teams. At the same time, the company has added Mark Almeida, to its board of directors. Almeida is Limited Partner Advisor at Nyca Partners – which led…
Moody’s Boosts KYC Offerings with Acquisition of PassFort and Kompany
Moody’s Corp. has continued its foray into the regulatory and compliance segment with the acquisition of two KYC solutions providers: PassFort Ltd. and 360kompany (a.k.a. kompany). The two acquisitions are aimed at adding to Moody’s KYC, AML and counterparty risk capabilities, and are illustrative of the heating up of the beneficial ownership, sanctions and financial…
Surveillance Experts Discuss Impact on Segment of WFH
In case you missed it, watch below to hear this panel at our recent RegTech Summit Virtual discuss managing trade and communications surveillance in the new world of work. The panelists include: Moderator: Matthew Bernstein, Information Governance Strategist, MC Bernstein Data Yasmine Li, Head of EMEA Surveillance, Macquarie Group Stan Yakoff, Head of Americas Supervision,…