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Top 20 e-Comms Surveillance Providers 2024
Earlier this month, the Securities and Exchange Commission announced charges against a registered investment adviser for widespread and longstanding failures to maintain and preserve certain electronic communications; the matter was settled for $6.5 million. This case is notable because it is the first time the SEC has brought charges against an RIA with no ties…
R3 and Quant Selected to Develop Prototype for UK’s Regulated Liability Network
R3 and Quant have been chosen to create the technology prototype for the UK’s Regulated Liability Network (RLN) experimentation phase, an initiative led by UK Finance and supported by EY. This project aims to establish a unified platform facilitating various financial transactions using tokenised and traditional commercial bank deposits. The RLN will serve as a…
Dow Jones Risk & Compliance Deploys Generative AI to Transform Due Diligence
Dow Jones Risk & Compliance has launched an AI-powered research platform to help clients reduce the time and effort in building investigative due diligence reports from multiple sources. The new offering aims to reshape compliance workflows, creating an additional layer of investigation that can be deployed at scale. Dow Jones Integrity Check is an automated…
Corporater Unveils Business Process Management for Enhanced GRC and Performance Management (GPRC)
Corporater, a global leader in software solutions for Governance, Risk, and Compliance (GRC) and Performance Management (jointly addressed as GPRC), is proud to announce the launch of a new Business Process Management Engine. First introduced in the Nordic market, this significant functional addition is now available globally. Digital GRC programs are being challenged by evolving…
CTM Debuts New Tri-Party Matching Workflow for Prime Brokers with Société Générale as First to Go Live
The Depository Trust & Clearing Corporation (DTCC), the leading provider of post-trade market infrastructure for the global financial services industry, has announced Société Générale as the first Prime Broker to adopt the Central Trade Manager’s (CTM) automated tri-party trade matching workflow. This development comes as the financial services sector worldwide braces for T+1 and more…
Saifr Addresses Need for Continuous Due Diligence in Marcomms Content Compliance
Ensuring financial services’ firms marketing messages accurately reflect what’s really on offer has long been a challenge for compliance professionals. And with other areas of the business attracting substantial and highly public penalties from regulators, the danger was that this function didn’t get the attention it deserved. But regulators are starting to pay more attention,…
NICE Actimize ARCHIVE-X Offers Single Source Regulatory Record Keeping
NICE Actimize has released ARCHIVE-X, a cloud-based, all communications archiving and records management solution that provides buy-side, sell-side and online trading platforms with one solution to support regulatory requirements for communications archiving and records management. The aim is to help financial institutions achieve more robust records lifecycle management and reduce compliance risk by archiving all…
Global Screening Services Raises $47 Million, Moves into Operational Phase
Global Screening Services (GSS), a provider of transaction screening, has completed a Series A2 funding round raising over $47 million (£37 million). The investment will support the London-based company’s transition from a development to operational phase as its cloud-native platform prepares to go live with inaugural clients. Originally incubated by AlixPartners, GSS tackles the complexity…
SmartSearch Sets Growth Plans Following Investment from Triple Private Equity
SmartSearch, a UK provider of digital compliance and anti-money laundering (AML) software, has received a large investment from Triple Private Equity. The private equity firm will gain a majority share in SmartSearch and work with the company to support its core markets and continued expansion following the release of its latest technology platform last year….
Baader Bank Selects Broadridge for Regulatory Trade and Transaction Reporting
Baader Bank has extended its relationship with Broadridge Financial Solutions with an agreement to use the vendor’s regulatory trade and transaction reporting solution to ensure a more unified and comprehensive regulatory reporting framework. The bank already uses Broadridge’s front- and middle-office solutions for order management, trading and market connectivity. Baader Bank offers asset classes including…