RegTech Insight Regulatory Technologies The latest content from across the platform
Recorded Webinar: The evolution of market surveillance across sell-side and buy-side firms
Market surveillance is crucial, and in many cases a regulatory requirement, to ensuring orderly securities markets and sustaining confidence in trading. It can be breached and has become increasingly complex in the wake of the Covid pandemic, Brexit, and the emergence of new asset classes. This webinar will review the extent of market abuse in…
Next-Generation Network and Vendor Management: mitigating operational risk in relationship networks
The complex network of relationships that financial institutions have built with multiple partners has created a huge operational burden, resulting in significant operational risk as well as financial and compliance risk. Dating back decades, many of these relationships are now managed as a separate business function, costing organisations millions of dollars. Add in regulatory obligations,…
CloudMargin Expands Custodian Network as More Firms Come into UMR Scope
Collateral management technology provider CloudMargin has expanded its network to include close to 60 custodians, following the start of Phase 5 of the Uncleared Margin Rules (UMR) this month and ahead of even more buy-side firms falling under the scope of Phase 6 next year. On September 1, asset managers with an Aggregated Average Notional…
ACA Group Adds e-Comms Surveillance with Catelas Acquisition
ACA Group’s acquisition of e-comms surveillance specialist Catelas is the latest step in its bid to create a comprehensive solution designed to meet all the needs of compliance professionals based on its Compliance Alpha platform. Catelas boosts ACA’s capabilities in the surveillance area, and brings with it a host of major clients allowing ACA to…
ION Acquires Clarus to Offer Solutions for UMR, Broader Derivatives Analytics
Trading solutions vendor ION Markets has acquired derivatives analytics specialist Clarus Financial Technology, in part to help clients to comply with the new Uncleared Margin Rules (UMR) regulation for OTC derivatives. The acquisition – for an undisclosed sum – of the provider of SaaS-delivered analytics, data and research will also broaden ION’s capabilities in the…
Recorded Webinar: Managing culture and conduct: Is your organisation compliant with the Senior Managers and Certification Regime (SMCR)?
The FCA’s Senior Managers and Certification Regime (SMCR) came into play in the UK banking sector in early 2016, with the aim of reducing harm to consumers and strengthening market integrity by creating a system that enables firms and regulators to hold individuals to account – and it is not going away with the FCA…
Compliance-as-a-Service Provider Lawson Conner Adopts Acquirer IQ-EQ’s Brand Name
Lawson Conner, a UK-based regulatory hosting and outsourced compliance business, has rebranded as IQ-EQ, the name of investment funds service provider that acquired it in 2018. The rebrand of the compliance as-a-service provider comes at a time when the Financial Conduct Authority (FCA) has prioritised raising standards in the appointed representatives segment. IQ-EQ’s acquisition added…
Mind the Gap: Why RegTech Hasn’t Hit the Target (Yet)
By Bernadine Reese, managing director, and Jagdeep Sihan, associate director, at Protiviti UK. RegTech is a new and innovative industry. As the cost of compliance increases, and attention from regulators mounts, financial firms are looking for ways to make their processes slicker and prove that they work effectively. Technology can be part of the answer….
Data integrity: Your key to confidence in a complex regulatory environment
Despite the recent challenges of the Covid pandemic, regulators have made it clear that they will not accept reporting errors, particularly those that are related to data. Enforcement is more stringent, scrutiny is more in-depth, and the pressure is on to ensure – and demonstrate – that the data underpinning your reporting and activities is…
Clausematch Survey Shows Acceleration in RegTech Uptake
Financial institutions accelerated spending on regulatory technology during the pandemic, a survey of almost 40 organisations conducted by Clausematch has found. The survey also suggested that practitioners would like to see regulators take a more proactive role in promoting the adoption of technology in compliance. More than 42% of survey respondents witnessed sharp rise in spending…