Editor’s pick

Relativity Teams Up with Proofpoint to Address Surveillance and Storage Regs

US surveillance technology specialist Relativity has forged a strategic deal to integrate Proofpoint Inc.’s Enterprise Archive solution with its own Relativity Trace AI-driven surveillance platform. Together, the two companies plan to help regulated entities address the archiving challenges posed by the SEC and Finra, as well as rules around market manipulation and insider trading, such...


Top Blogs

Financial Crime Specialist Plenitude Consulting Ramps Up Executive Team

The appointment late last month of HSBC UK’s former head of financial crime compliance, Allan Clare, as senior advisor is the latest in a series of high-level appointments by financial crime risk and compliance specialist Plenitude Consulting. The hires come as the firm ramps up its RegSight obligations management platform, which helps firms identify rules...

FundApps Gets ‘Significant’ Growth Funding from Scottish Equity Investment

London-based FundApps has secured a ‘significant’ investment from Scottish Equity Partners (SEP) to fund future growth. The company will use the funds for development of its core Shareholding Disclosure, Sensitive Industries and Position Limits product suite, as well as expansion of its client base of 100 or so buy-side and sell-side firms. “Having bootstrapped our...

Relativity Teams Up with Proofpoint to Address Surveillance and Storage Regs

US surveillance technology specialist Relativity has forged a strategic deal to integrate Proofpoint Inc.’s Enterprise Archive solution with its own Relativity Trace AI-driven surveillance platform. Together, the two companies plan to help regulated entities address the archiving challenges posed by the SEC and Finra, as well as rules around market manipulation and insider trading, such...

Latest briefs

Latest people

Featured

FEATURED WEBINAR

Upcoming Webinar: Fighting fraud and financial crime with RegTech

Date: 24 June 2021 Time: 10:00am ET / 3:00pm London / 4:00pm CET Duration: 50 minutes Financial fraud and crime continue to escalate causing significant damage to companies, countries and the global economy despite enormous efforts by firms and organisations in the financial services sector to identify and expel bad actors. As these bad actors…

FEATURED EVENT

RegTech Summit APAC Virtual

RegTech Summit APAC will explore the current regulatory environment in Asia Pacific, the impact of COVID on the RegTech industry and the extent to which the pandemic has acted a catalyst for RegTech adoption in financial markets.

FEATURED GUIDE

Entity Data Management Handbook – Seventh Edition

Sourcing entity data and ensuring efficient and effective entity data management is a challenge for many financial institutions as volumes of data rise, more regulations require entity data in reporting, and the fight again financial crime is escalated by bad actors using increasingly sophisticated techniques to attack processes and systems. That said, based on best…

Download

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 New York City

Now in its 5th 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.

Find out more

RegTech Summit APAC Virtual

RegTech Summit APAC will explore the current regulatory environment in Asia Pacific, the impact of COVID on the RegTech industry and the extent to which the pandemic has acted a catalyst for RegTech adoption in financial markets.

Find out more

RegTech Summit London

Now in its 5th 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.

Find out more

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 USA

The RegTech Insight Awards – USA celebrate providers of leading RegTech solutions, services and consultancy. These awards are uniquely designed to recognise both start-up and established providers who are creatively finding solutions to help with regulatory challenges, and span a wide range of regulatory requirements.

Upcoming events

Upcoming webinars

Guides

  • Entity Data Management Handbook – Seventh Edition

    Download

  • RegTech Suppliers Guide 2020/2021

    Download

Most read

Tweets