Editor’s pick

FINRA CAT: What’s Next?

By Andrew Pheifer, CFA, CAIA, Director, EMS Product Management, SS&C Eze. The long-awaited Consolidated Audit Trail (CAT) is now live, ingesting billions of equity transactions daily from U.S. broker-dealers (Industry Members). The go-live has largely been considered a success, with more than 1,000 broker-dealers reporting into the CAT. The CAT’s origins date back to 2012...


Top Blogs

Cross-Sector Data Platform Hopes to Revolutionise the Fight Against Financial Crime

Last week, a consortium of businesses, banks and the UK Financial Conduct Authority (FCA) announced a pioneering new AI-driven data access platform set to launch in 2021, led by RegTech firm RegulAItion. The AIR Platform promises to transform the way in which data is accessed by regulated industries, providing a digital infrastructure for scalable, automated...

Asset Control Partners with Finmechanics on FRTB Solution

Data quality software specialist Asset Control has joined forces with Singapore-based risk management and regulatory compliance firm Finmechanics to launch a new technology solution banks with an accelerated approach to FRTB implementation. Including both standardised approach and internal models approach (IMA) and other regulatory imperatives, the approach integrates data management with risk analytics, allowing non-modellable risk...

Gresham Boosts Regulatory Reporting Function with Inforalgo Acquisition

UK-based Gresham Technologies has completed its acquisition of data automation specialist Inforalgo Information Technology, in a move that will significantly expand the firm’s cloud capabilities across its Clareti data platform. Inforalgo specialises in cloud-hosted, straight-through-processing (STP) solutions and intelligent automation technologies for financial institutions, providing complex real-time connectivity delivered as a flexible automated service and...

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FEATURED WEBINAR

Upcoming Webinar: How Financial Institutions can adjust to working in the New Normal

Date: 8 September 2020 Time: 10:00am ET / 3:00pm London / 4:00pm CET The very sudden impact of Covid-19 and resultant shutdown of physical sites has stress-tested financial institutions and vendors to their limits. Now banks and firms are slowly starting to re-open offices. But what will the new normal look like and what steps…

FEATURED EVENT

RegTech Summit Virtual

Regtech Summit Virtual will explore how business and operating models have adapted post COVID and how RegTech can provide agile and enhanced compliance for managing an evolving risk and compliance landscape. As the dust settles, we will look at the outlook for the global RegTech industry, where Regulators are focusing as they get back to business, and deep dive into global regulatory priorities for the rest of the year and into 2021.

FEATURED GUIDE

Entity Data Management Handbook – Sixth Edition

High-profile and punitive penalties handed out to large financial institutions for non-compliance with Anti-Money Laundering (AML) and Know Your Customer (KYC) regulations have catapulted entity data management up the business agenda. So, too, have industry and government reports on the staggering sums of money laundered on a global basis. Less apparent, but equally important, are…

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Top White Papers

Financial Markets Operations Response to COVID-19: Best Practices for Working from Home

The COVID-19 pandemic is disrupting all walks of life, and carries with it implications for society beyond even the obvious and immediate health impact. Business is being hit across the board, with many corporations sending staff home in an effort to keep them both safe and working. It’s clear that firms can’t rely on a...

Addressing the Reference Data Challenges of SFTR

The EU’s Securities Financing Transactions Regulation (SFTR), which comes into effect in April 2020, is a data-heavy transaction reporting regulation along the lines of MiFIR and EMIR, but has a significant reference data element as well. The regulation is extensive, with some 150 data fields in its mandatory regulatory reports, a dozen of which will...

Trade Surveillance and Mobile Recording in the Era of Data Privacy

The EU’s MiFID II and other regulations globally have placed greater emphasis than ever on market surveillance, recording of trading communications and records-retention processes in an attempt to stamp out market abuse and boost investor confidence and protections. At the same time, the public’s attitude toward data privacy has hardened, most visibly through new regulations...

Events and webinars

RegTech Summit Virtual

Regtech Summit Virtual will explore how business and operating models have adapted post COVID and how RegTech can provide agile and enhanced compliance for managing an evolving risk and compliance landscape. As the dust settles, we will look at the outlook for the global RegTech industry, where Regulators are focusing as they get back to business, and deep dive into global regulatory priorities for the rest of the year and into 2021.

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RegTech Summit New York City

Now in its 4th year, the RegTech Summit in NYC explores how the North American financial services industry can leverage technology to drive innovation, cut costs and support regulatory change.

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RegTech Summit London

Now in its 4th year, the RegTech Summit in London explores how the European financial services industry can leverage technology to drive innovation, cut costs and support regulatory change.

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Top Knowledge Hub picks

MiFID II

Markets in Financial Instruments Directive II (MiFID II) builds on the original MiFID of 2007 to improve the competitiveness of European markets by creating a single market for investment services and activities, and ensuring protection for investors in financial instruments. Read everything you need to know and get access to all related content.

Regulatory Reporting

Regulatory reporting comprises the submission of raw or formatted data as required by regulators to evaluate and track the financial and operational status of financial institutions and their compliance with required regulatory provisions. Find out all about it in our Knowledge Hub.

Market Abuse Regulation (MAR)

The Market Abuse Regulation (MAR) provides an EU-wide regulatory framework on market abuse, including measures to enhance the attractiveness of securities markets for capital-raising through the prohibition of practices such as insider dealing, unlawful disclosure of inside information and market manipulation. Find out more and access all our key resources here.

Awards

RegTech Insight Awards

The RegTech Insight Awards recognise the best of the best in the RegTech industry. Find out how to vote, enter or see the past winners.

Upcoming events

Upcoming webinars

Guides

  • Entity Data Management Handbook – Sixth Edition

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  • Regulatory Data Handbook 2019/2020 – Seventh Edition

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