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Recorded Webinar: Adding value and improving efficiencies in sanctions screening

Sanctions have been headline news this year. They are growing in number, sanctions lists are changing on a daily basis, and there can be conflict between sanctions issued by different jurisdictions – the whole calling for financial institutions to optimise sanctions screening to reduce risk and avoid potentially punitive penalties of non-compliance. This webinar will…

MCO Closes Acquisition of Schwab Compliance Technologies for Conduct Risk

Dublin-based conduct risk and compliance technology specialist MCO (MyComplianceOffice) has completed its acquisition of Schwab Compliance Technologies (SCT). The purchase – for an undisclosed sum – adds the ability to monitor employees’ trading activities to MCO’s product line and brings its client base to more than 1,300 firms globally. SCT – which started life as Compliance11 Inc….

Citi, State Street Join FundGuard Platform as Part of $40 Million Funding

Citi and State Street Corp. have joined existing investors in FundGuard’s $40 million Series B funding round, becoming strategic partners in the company’s bid to establish a SaaS-based investment management and asset services platform. With ‘anchor tenants’ Citi and State Street on board, FundGuard is now launching efforts to add more specialised providers of capabilities…

SmartSearch Releases High-Risk Country Report Service in Response to Sanctions Against Russia

SmartSearch, an anti-money laundering (AML) specialist, has released a high-risk country report service in response to the introduction of sanctions against Russia. The service enables regulated businesses to scan existing clients and check for residency or citizenship in Russia, Belarus, or any other high-risk countries. The reporting tool instantly checks all clients that the regulated business has…

Sanctions Against Russia Mean Screening is More Vital than Ever

By Collette Allen, Client Services Director, SmartSearch. Firms should take action to review their due diligence and sanctions screening procedures to avoid falling foul of extensive new and emerging sanctions against Russia. The wide-ranging sanctions imposed so far by Western nations include restrictions against individuals, entities and their subsidiaries, and the introduction of legislation to…

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…

IQ-EQ Acquires Greyline Partners to Boost US Presence

In its fourth US acquisition in two years, London-based regulatory technology specialist IQ-EQ has bought Greyline Partners, which offers outsourced governance and regulatory compliance solutions for the alternative asset sector, including hedge funds, venture capital, private equity and high net-worth investors. Greyline’s recently launched GCM Advisory outsourced CFO, finance and accounting business is also included in…

Asia-Pacific Practitioners Gear Up for A-Team’s RegTech APAC Conference This Week

This week sees the first ever A-Team RegTech Summit for the Asia-Pacific region. Building on the success of A-Team’s RegTech Summit conferences in London and New York over the past four years, this virtual event is the first of what’s expected to be a series of events in the region, including in-person conferences when appropriate. RegTech…

RegTech Summit Goes Global as A-Team Launches Singapore Event in November

It’s official. Due to popular demand, A-Team Group is expanding its highly successful RegTech Summit conference series with an event in Singapore in the autumn. With lead sponsorship from Solidatus confirmed, A-Team is now formulating the agenda, recruiting speakers and discussing participation opportunities with sponsors and exhibitors. A-Team’s RegTech Summit APAC will take place on…

Clearstream Taps Xceptor to Boost Withholding-Tax Processing for Custodians

Central securities depository Clearstream has teamed with Xceptor to redefine its capabilities for withholding-tax processing for its custodians and other financial intermediaries. The upgraded service is aimed at helping institutional investors address deal complex and cumbersome, often-manual processes for handling withholding tax across global markets and asset classes. With tax authorities globally elevating the level…