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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…
Privacy Enhancing Technologies – A Game Changer?
Privacy Enhancing Technologies (PETs) hold promise for financial institutions as a means of collaborating on customer data while ensuring its privacy and security. Use cases include measuring the quality of KYC data in a peer group, sharing suspicious activity reports, and bringing together transaction data for Anti-Money Laundering (AML) purposes. As well as supporting these…
GDPR Reform: How Will a New Data Protection Regime Impact UK Financial Firms?
The data protection regulatory regime in the UK could soon look very different, if proposed changes to the current UK General Data Protection Regulation (UK GDPR) come to fruition as part of a recently published UK government plan to move its data protection laws in a new direction following the country’s split from the EU….
Recorded Webinar: FINRA CAT CAIS: What to Expect – Giving Regulators Full Access to Your Customer & Account Data
Join n-Tier and a panel of industry experts to discuss implications of the SEC’s Consolidated Audit Trail (CAT) Customer & Account Information System (CAIS) Phase 2e. The initial phase of CAIS was the start of a new era for broker-dealer Onboarding and Account Management teams, turning customer and account reference data into a daily regulatory…
Regulatory Data Handbook 2021/2022 – Ninth Edition
Welcome to the ninth 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. This edition of the handbook includes a focus on regulations being rolled out to bring order and standardisation to…
Recorded Webinar: Managing unstructured data to ensure regulatory compliance and add value
As unstructured data floods into capital markets in the wake of traditional structured data, firms must manage both data types and ensure ease of access to extract data required for regulatory compliance efficiently and effectively. Beyond compliance, firms can add value to the business by gaining a clear understanding of their unstructured data, integrating the…