RegTech Insight Blogs The latest content from across the platform
Can Asset Managers Finally Find a Cure for their Reporting Headaches?
Clement Miglietti, Chief Product Officer, NeoXam. It is hard to think of another issue that has been deliberated over more in recent times than the need for accurate reporting. The issue is, as with so many issues relating to market infrastructure, the bigger the problem the harder it is to actually come up with a…
Broadridge Partners with FundApps for Shareholder Disclosures, Limits Monitoring
Broadridge Financial Solutions has integrated FundApps’ regulatory compliance technology with its portfolio and order management solution. The arrangement adds a set of capabilities around shareholder disclosures and limits monitoring to Broadridge’s buy-side product line-up. Broadridge calls FundApps “a unique regulatory compliance solution that addresses managers’ needs across shareholder disclosures, sensitive industry monitoring and position limit…
Confluence Acquires Fundpeak to Address Funds’ KIID, PRIIPS Requirements
Pittsburgh-based risk and regulatory solution specialist Confluence Technologies has agreed to acquire Fundpeak, a provider of tools for helping buy-side firms manage their marketing and communications based in Czech Republic. The acquisition aims to strengthen Confluence’s offerings in the segment by leveraging Fundpeak’s expertise in providing secure fund portals and marketing tools such as fund…
JP Morgan Extends Use of Acin for Operational Risk
JP Morgan has expanded the use of Acin’s operational risk management platform to cover its global markets activities, having worked with the system in its e-trading business for the past two years. The expansion supplements the US bank’s existing operational risk management processes. According to Jamie Hamilton, Global Head of Markets Business Control Management at…
ESMA Report Calls for Improvement in EMIR Data Quality, Monitoring of SFTR Data
The European Securities and Markets Authority (ESMA) has published a report on European Markets Infrastructure Regulation (EMIR) and Securitised Financing Transactions Regulation (SFTR) data quality – and it’s not all good news. While progress has been made, more effort is needed by national competent authorities (NCAs) and ESMA to further improve EMIR data quality. The…
Ikano Bank Places TruNarrative Platform at Centre of Fraud Prevention Strategy
Swedish bank Ikano Bank will deploy fraud prevention technology from UK-based TruNarrative, as part of a wider digital transformation programme. The implementation will involve integration of the TruNarrative client onboarding and fraud detection platform with Ikano’s new technology architecture to facilitate the bank’s Europe-wide fraud prevention strategy. The TruNarrative platform is accessed via a single…
ACA Group Adds Marketing Materials Checks in ComplianceAlpha Release
With an eye on the SEC’s new Market Rule, GRC fintech ACA Group has added a series of features addressing the verity of regulated firms’ marketing materials in a new release to its ComplianceAlpha compliance platform. This is augmented in the release by a new eLearning Solution aimed at helping firms train staff in compliance-related…
Addressing Trade Fails Can Lead to SDR Success
By Matt Johnson, Director, ITP Product Management, DTCC. It is just under ten months to go before the implementation of the Central Securities Depositories Regulation’s (CSDR) Settlement Discipline Regime (SDR), which will require firms to put in place measures to mitigate settlement delays, endorsing straight through processing (STP) to support high settlement rates. For trades…
SteelEye Eyes North American Expansion with Beacon-Led Funding Round
UK-based regulatory data integration specialist SteelEye has secured £5 million of new funding from Boston-based Beacon Equity Partners, a private equity focused on the financial technology space, to finance its expansion into the North American marketplace. The company has already opened an office in Boston and is in the process of adding 22 new staff…
Preparing for IFPR: The Time to Act is Now
By Kwame Frimpong, Regulatory Product Manager at Wolters Kluwer FRR. With the implementation of the new Investment Firms Prudential Regime (IFPR), the FCA is aiming to streamline and simplify the prudential requirements for solo-regulated investment firms in the UK. While key details of the new rules remain to be finalized, panellists joining me on a…