A-Team Insight Knowledge Hub RTI The latest content from across the platform
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…
Recorded Webinar: Regulatory change management – challenges, solutions and case studies
Regulatory change has become part of the fabric of capital markets. It has also become increasingly complex as more regulations are introduced, significant amendments are made frequently, and small changes are made on a rolling basis – the whole made more difficult by jurisdictional interpretation and the UK’s amended regulatory regime post Brexit. If keeping…
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…
Finastra Adds €STR, TONAR and SORA Rates to Fusion LIBOR Transition Calculator
Finastra has introduced additional Alternative Reference Rates (ARR) and Risk-Free Rates (RFRs) to its Fusion LIBOR Transition Calculator. The move enables banks, corporates and borrowers to calculate ARR in preparation for the end of the majority of LIBOR rates on December 31, 2021. In addition to SOFR for the US dollar and SONIA for pounds…
Aztec Group Adds Fenergo CLM to Technology Stack on Route to Digital Transformation
Aztec Group, a specialist in alternative asset classes, has selected Fenergo’s cloud-native Software-as-a-Service (SaaS) client lifecycle management (CLM) to digitalise client and investor journeys. The solution will replace legacy systems and existing processes for client onboarding and compliance, enabling Aztec Group to onboard investors faster while improving the user, client and investor experience. The company…
FINBOURNE Joins Dutch Regulatory Sandbox to Explore Creation of EU Consolidated Tape
FINBOURNE Technology, founded in 2016 with a mission to reduce the cost of investing and increase transparency, has joined the Dutch Authority for the Financial Markets’ (AFM) regulatory sandbox to drive creation of a consolidated tape provider (CTP). A CTP features in the EU’s MiFID II and MiFIR frameworks, but has yet to emerge despite…
RegTech Summit Virtual: The Outlook for Regulatory Compliance and RegTech in a Digital Economy
The role of digital transformation in the growth of the RegTech sector cannot be overstated, but a number of complex challenges and barriers to more widespread adoption remain. Launching A-Team Group’s two day RegTech Summit, this first panel brought together a group of leading industry figures to discuss the major compliance issues from the perspective…
A-Team Extends, Expands and Releases 2021/2022 Edition of Regulatory Data Handbook
Don’t miss the latest edition of A-Team Group’s Regulatory Data Handbook, a publication dedicated to helping you gain a full understanding of regulations related to your organisation from the details of requirements to best practice implementation. The 2021/2022 handbook covers more than 40 regulations, providing you with a detailed description of each regulation including its…
Can You Prove Risk-Based e-Comms Surveillance Outcomes Have Merit?
By Robert Houghton, Founder, CTO and Technical Evangelist at Insightful Technology. The elephant in the room whenever a discussion turns to risk-based surveillance is the fact that many Compliance Officers do not have complete confidence in their data. There are currently no parameters from the regulators of the financial sector to permit risk-based surveillance, yet…