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Broadridge Partners with FundApps for Shareholder Disclosures, Limits Monitoring
Broadridge Financial Solutions has integrated FundApps’ regulatory compliance technology with its portfolio and order management solution. The arrangement adds a set of capabilities around shareholder disclosures and limits monitoring to Broadridge’s buy-side product line-up. Broadridge calls FundApps “a unique regulatory compliance solution that addresses managers’ needs across shareholder disclosures, sensitive industry monitoring and position limit…
Confluence Acquires Fundpeak to Address Funds’ KIID, PRIIPS Requirements
Pittsburgh-based risk and regulatory solution specialist Confluence Technologies has agreed to acquire Fundpeak, a provider of tools for helping buy-side firms manage their marketing and communications based in Czech Republic. The acquisition aims to strengthen Confluence’s offerings in the segment by leveraging Fundpeak’s expertise in providing secure fund portals and marketing tools such as fund…
Recorded Webinar: Managing LIBOR transition
The clock is ticking on the decommissioning of LIBOR towards the end of this year, leaving financial institutions with little time to identify where LIBOR is embedded in their processes, assess alternative benchmarks and reference rates, and ensure a smooth transition. Some will be ahead of others, but the challenges are significant for all as…
SteelEye Eyes North American Expansion with Beacon-Led Funding Round
UK-based regulatory data integration specialist SteelEye has secured £5 million of new funding from Boston-based Beacon Equity Partners, a private equity focused on the financial technology space, to finance its expansion into the North American marketplace. The company has already opened an office in Boston and is in the process of adding 22 new staff…
Recorded Webinar: Trade surveillance: Deploying monitoring and surveillance capabilities for today’s new normal
Let’s face it: The old ways aren’t coming back. A plethora of challenges brought on by the covid-19 pandemic, coupled with unrelenting market volatility and uncertainty, have pushed financial service firms to look for rigorous monitoring and surveillance solutions to meet the demands of the emerging trading landscape. Working from home (WFH) has increased the…
SmartStream Adds AI to Reconciliation Platform
UK-based SmartStream Technologies has launched TLM Aurora Universal Data Control, an AI-enabled platform for managing the complex data underpinning firms’ reconciliations activities. TLM Aurora UDC builds on the technology used for SmartStream’s Air, its next-generation AI solution for reconciliation processing, version 2 of which was officially launched in October last year. Air introduces advanced AI…
Recorded Webinar: Developing operational resilience
Financial institutions’ operational resilience – essentially the ability to prevent, adapt and respond to, and recover and learn from operational disruptions – has come under extreme pressure during the coronavirus pandemic, with last year’s March lockdown creating unprecedented circumstances for financial firms. Employees working from home raised the stakes, as they still do, adding to…
VoxSmart Raises $25 Million with Toscafund to Finance Expansion and Growth
In a deal claimed to be one of the largest fundraises conducted for the RegTech and Compliance sector, London-based communications surveillance provider VoxSmart has raised $25 million to strengthen its markets surveillance technology suite and to fund further expansion, particularly in North America and emerging markets. Following $13.7 million raised in earlier rounds of Series…
China Merchants Bank Selects Appway for Onboarding and KYC Compliance Checks
China Merchants Bank – Singapore branch (CMB SG) has selected Appway to provide client lifecycle management solutions and domain expertise to accelerate the branch’s compliance agility and efficiencies. Appway’s Singapore office will lead the implementation of its Onboarding for Wealth and KYC Review solutions, as well as its Digital Binder product for front to back…
Quantexa Addresses AML with Contextual Decision Intelligence
London-based data and analytics company Quantexa is addressing the challenge of Anti-Money Laundering (AML) monitoring and investigation with the use of contextual decision intelligence (CDI), a means of enriching internal data with external data and building networks of relationships to create a contextual view of a customer. This approach is aimed at generating meaningful alerts…