RegTech Insight Regulations The latest content from across the platform
Russell Investments Selects ACA’s ARRMA Service to Improve Regulatory Reporting
Russell Investments has selected ACA Group’s Regulatory Reporting Monitoring and Assurance (ARRMA) service to manage its transaction reporting arrangements. The deal covers EMIR reporting and adds to ACA’s provision of MiFIR assurance reviews for Russell Investments since May 2021. The service combines technology and consulting, and will help the investment firm identify and remediate transaction…
AFME Makes Recommendations for Open Finance Framework
The Association for Financial Markets in Europe (AFME) has underlined the importance of a level playing field for responsible data sharing and made recommendations for an Open Finance Framework ahead of the publication of the European Commission’s framework for data access in financial services that is due to be published in coming months. EFMA shares…
Regulatory Data Handbook 2022/2023 – Tenth Edition
Welcome to the tenth edition of A-Team Group’s Regulatory Data Handbook, a publication that has tracked new regulations, amendments, implementation and data management requirements as regulatory change has impacted global capital markets participants over the past 10 years. This edition of the handbook includes new regulations and highlights some of the major regulatory interventions challenging…
It’s Time to Embrace Risk Profiling for Regulatory Compliance
By Richard Pike, Managing Director, KYR Solutions, MyComplianceOffice. Regulations, frameworks, policies and controls define the day-to-day of Chief Compliance Officers (CCO) and their teams in what can best be described as a world of monitoring spaghetti. At the same time, the teams also need to ensure they are keeping senior executives and the front office…
A-Team Group-Partnered Publication Looks into the FinTech Crystal Ball
Charting the digitalisation of the financial industry is the beating heart of what we do at A-Team Group. And we are delighted and proud to have had the opportunity to take our messaging further, for the first time co-producing a special supplement on the Future of Finance in a major British national newspaper. The “Future…
FCA Fines Citigroup Global Markets £12.5 Million for Market Abuse Failings
The UK’s Financial Conduct Authority (FCA) has issued Citigroup Global Markets with a fine of more than £12 million for failing to properly implement the EU’s Market Abuse Regulation (MAR) trade surveillance requirements. The failure meant that Citigroup Global Markets could not effectively monitor its trading activities for certain types of insider dealing and market…
SEC No-Action Lapse Poses Threat to Investment Research Flows, Survey Finds
Last month’s SEC decision to allow its MiFID II research no-action letter to lapse could damage relationships between European/global asset managers and US brokers, potentially disrupting the investment research market, according to a report by Substantive Research, which operates a research analysis and delivery platform. The SEC’s no-action letter – now set to expire in…
Compliance.ai Plans Market Growth and Expansion on Back of $6 Million Funding Round
Compliance.ai, a provider of regulatory change management solutions, has secured $6 million of funding, which it will use to promote market growth and expansion. At the same time, the company has brought in a new CEO, Asif Alam, who will replace Kayvan Alikhani, who will continue innovating Compliance.ai products as co-founder and chief product/strategy officer….
ION Releases Compliance SaaS to Target Tier 2 / 3 Buy Sides
ION Markets is targeting Tier 2 and Tier 3 asset management firms with its new Compliance SaaS solution, which helps firms comply with regulations globally as well as internal policies governing their investment activities on behalf of clients. The new platform uses Web technologies to offer SaaS and HTML 5 delivery of the former Sentinel…
Recorded Webinar: A practical guide to dual UK and EU regulatory reporting as the Temporary Permission Regime comes to a close
The Temporary Permission Regime (TPR) allowing capital markets participants in the European Economic Area (EEA) to continue to operate in the UK post Brexit will be withdrawn by the end of 2023, calling on firms that want to stay in the UK to gain full authorisation from the FCA and prepare to comply with both…