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Refinitiv Acquires The Red Flag Group to Boost ESG, Supply Chain Capabilities
Refinitiv last week acquired The Red Flag Group, a Hong Kong-based global integrity and compliance risk firm specializing in enhanced due diligence and onboarding technologies across a range of industries. Its addition should significantly expand Refinitiv’s suite of due diligence offerings to help its corporate compliance customers better evaluate money laundering, bribery and corruption, reputational and ESG…
The Global Outlook for Regulatory Compliance – Where Are We Headed?
Are you ready for our upcoming RegTech Summit Virtual 2020? We’re so excited to bring you yet another action-packed online event, running over five days with a brand new livestream to make our content even more immediate. The first day kicks off with a deep-dive look at the global perspective for regulatory compliance and RegTech…
RegulAItion Signs Up Open Data Institute for New AIR Platform
Data platform company RegulAItion has confirmed the Open Data Institute (ODI) as a key partner in the development of its new AIR Platform, a cross-sector data initiative hoping to revolutionise the fight against financial crime. Announced in July 2020, the AIR Platform promises to transform the way in which data is accessed by regulated industries, providing…
Morgan Stanley Slapped with $10m in Fines
The US Securities and Exchange Commission has issued Morgan Stanley with a $5 million penalty, citing violations of Regulation SHO, the regulation governing short sales. “Morgan Stanley hedged synthetic exposure to swaps by purchasing or selling the securities referenced in the swaps, and it separated its hedges into two aggregation units—one holding only long positions,…
ESMA Appoints New Chair of CCP Supervisory Committee
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has formally appointed Klaus Löber as Chair of the CCP Supervisory Committee and Nicoletta Giusto and Froukelien Wendt as Independent Members. “The new organisational set-up of the CCP Supervisory Committee will strengthen ESMA’s role in enhancing the safety and efficiency of CCPs both…
Bottomline Boosts Anti-Financial Crime Capabilities with Dow Jones Data
Bottomline Technologies, a FinTech specialising in secure business payments, this week announced a partnership with Dow Jones Risk & Compliance: adding key Dow Jones data to its Anti-Money Laundering and Counter Terrorist Financing monitoring and screening capabilities. Dow Jones’s risk data, including politically exposed persons (PEPs), sanctions lists and adverse media entities for the UK,…
AxiomSL Could Be Up For Sale – But Who’s Buying?
There are rumours that risk data management and regulatory reporting specialist AxiomSL could be up for sale, with interest from several private equity firms. If true, it would only be the second round of institutional funding for the firm since it was founded in 1991, following the strategic stake taken back in 2017 by current owner,…
Regulatory Data Handbook 2020/2021 – Eighth Edition
This eighth edition of A-Team Group’s Regulatory Data Handbook is a ‘must-have’ for capital markets participants during this period of unprecedented change. Available free of charge, it profiles every regulation that impacts capital markets data management practices giving you: A detailed overview of each regulation with key dates, data and data management implications, links to…
Schroders Deploys SteelEye to Improve MiFID II Transaction Reporting
SteelEye continue to build its customer base looking for Markets in Financial Instruments Directive II (MiFID II) solutions with the addition of Schroders. The investment manager deployed SteelEye in July 2020 having selected the compliance technology and data analytics firm on the basis of the quality of its technology, regulatory expertise, and willingness to support…
ESMA Releases Long-Awaited Third-Country Draft Rules
ESMA this week published its final report containing draft rules for third-country firms providing investment services in the EU under the MIFIR and MiFID II regimes. The document should provide some long-awaited clarity around the ability of third-country firms to operate in Europe – including, of course, the UK, upon its final departure from the…