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Recorded Webinar: Best practices for eComms and multi-channel surveillance
Surveillance of multi-channel communications is a moving target as financial institutions continue to add conversational streams, in many cases mobile applications previously banned from the trading environment. With more eComms channels comes more data that must be managed, retained, and ready for regulatory compliance. For many firms, the changing shape of surveillance is a complex…
Endoxa Consortium Partners with Droit for Innovative Position Reporting Utility
Following its $23 million Series B investment earlier this year, Droit, the technology firm specialising in computational law and regulation, has been chosen by the Endoxa Consortium, a new collaboration of five major global banks, to develop a position reporting and shareholder disclosure utility. The consortium, which includes Barclays, BNP Paribas, Goldman Sachs, HSBC, and…
TS Imagine Partners with eflow to Add Surveillance Capabilities
Trading and risk management platform provider TS Imagine has forged a partnership with eflow, a provider of regulatory compliance solutions, that aims to help mutual clients both to meet their regulatory obligations and to safeguard against market abuse through communications monitoring. According to Alex Carteau, head of corporate development at TS Imagine, “This partnership bolsters our…
Understanding the Value of Global Identifiers in the Fight Against Financial Crime
By Clare Rowley, Head of Business Operations, GLEIF. Money laundering and terrorist financing create significant systemic risks in the global financial system. The intricate webs spun by fraudsters and criminals to evade detection crisscross national borders and legal jurisdictions, commonly exploiting multiple financial institutions and legal entities. In today’s instant digital economy, this is exposing…
Xceptor’s Integration with Taskize Seeks to Aid Firms as They Grapple with T+1
With the US markets’ adoption of T+1 settlement looming, trade automation platform Xceptor has teamed up with corporate collaboration specialist Taskize to streamline the trade affirmation process. The integration of the Xceptor Confirmations solution with Taskize’s inter-company workflow platform is aimed at helping firms to orchestrate affirm, confirm, and dispute resolution with their counterparties as…
Regulatory Reporting Handbook – First Edition
Welcome to the inaugural edition of A-Team Group’s Regulatory Reporting Handbook, a comprehensive guide to reporting obligations that must be fulfilled by financial institutions on a global basis. The handbook reviews not only the current state of play within the regulatory reporting space, but also looks ahead to identify how institutions should be preparing for…
Suade Commits $20 Million to Grow Regulatory Reporting Business in US and Canada
Suade, a RegTech firm offering Regulation-as-a-Service (RaaS) to automate reporting and compliance for financial institutions, has committed $20 million to bolster growth in US and Canadian financial markets. The company says the financial commitment is also aimed at helping firms address the complex reporting requirements of Basel 3.1. Diana Paredes, CEO of Suade, explains: “The…
AML Controls in the UK, Challenges of Non-Fungible Tokens, Potential Solutions
Chris Bourne, compliance expert in AML, CTF, KYC and KYB, Northrow. The UK has long prided itself on its robust Anti-Money Laundering (AML) legislation and its commitment to combatting financial crime. However, as criminals continually evolve their tactics, it is crucial to assess the effectiveness of AML controls in the UK and their future suitability…
Sumitomo Mitsui Trust Asset Management Selects Bloomberg Data Solution for SFDR Compliance
Sumitomo Mitsui Trust Asset Management has adopted Bloomberg’s data solution dedicated to helping firms meet the European Union’s Sustainable Finance Disclosure Regulation (SFDR). The asset manager is one of the largest in Japan and Asia, a signatory of both Japan’s Stewardship Code and Principles for Responsible Investment, and is actively pursuing initiatives to address ESG…
Walking the Tightrope of Increasing Regulatory Data Collection Initiatives
By Kelly Attrill, Strategy and Advisory Practice Head, Lab49. In a digital world where the volume, velocity and granularity of data continues to increase, there is even more potential to leverage the data created. In the financial services industry, firms have recognized the power of data for oversight, compliance and policy development. Regulators across financial…