Broadridge Expands OTC Derivatives Reporting Solution Across Multiple Jurisdictions
- 3 months 4 weeks ago
- RegTech
Broadridge Financial Solutions, Inc. , a global technology leader, today announced its readiness to support new OTC derivatives reporting requirements by the Monetary Authority of Singapore (MAS) and the Australian Securities and Investments Commission (ASIC) set to go live on October 21, 2024.
SteelEye Reveals Compliance CoPilot
- 5 months 1 day ago
- RegTech
SteelEye, the pioneering integrated surveillance provider trusted by financial firms worldwide, has rolled out its revolutionary Compliance CoPilot tool across trade surveillance. SteelEye’s Compliance CoPilot leverages large language models (LLMs) to augment the role of a compliance officer by providing intelligent analysis, automation and actionable insights. It enables analysts to prioritize high-risk alerts, investigate alerts more... more
ASIC Expands Operational Resilience Guidance for Market Participants
- 5 months 3 days ago
- RegTech
ASIC has today released a letter to market participants outlining technological and operational resilience guidance, clarifying how to identify critical business services and notification of a major event. The guidance relates to the technological and operational resilience requirements detailed in Chapters 8A and 8B of the ASIC Market Integrity Rules (Securities Markets) 2017 and ASIC Market Integrity Rules (Futures Markets) 2017.
Landesbank Baden-Württemberg (LBBW) Selects Fenergo for International Business
- 5 months 1 week ago
- RegTech
Landesbank Baden-Württemberg (LBBW), Germany's largest state bank, has selected Fenergo, the leading provider of solutions for know your customer (KYC), client lifecycle management (CLM) and transaction monitoring to provide a new cloud-based client onboarding system
CFTC Fines Nasdaq Futures $22M for Core Principle Violations and Misleading Disclosures
- 5 months 3 weeks ago
- RegTech
The Commodity Futures Trading Commission today issued an order filing and settling charges against Nasdaq Futures, Inc., formerly a designated contract market (DCM). The order finds Nasdaq Futures, Inc. failed to properly establish, monitor, or enforce rules related to an incentive program Nasdaq Futures, Inc. offered to certain traders on its DCM. The order also finds Nasdaq Futures, Inc.
CFTC Obtains $12.7 Billion Judgment Against FTX and Alameda
- 6 months 1 week ago
- RegTech
The Commodity Futures Trading Commission today announced the U.S. District Court for the Southern District of New York entered a consent order of permanent injunction and other equitable relief against FTX Trading Ltd. and Alameda Research LLC (together, FTX) and ordered FTX to pay $12.7 billion in monetary relief to FTX customers and victims of FTX’s fraud.
Wealthify Releases New Proprietary Platform
- 6 months 3 weeks ago
- RegTech
Wealthify, a leading savings and investment service, has today announced the launch of its new proprietary platform, significantly enhancing its in-house capabilities. This development marks a major step in the company's plans to scale and grow its business.
Report: 65% of Financial Institutions Struggle to Enforce Compliant Electronic Communications Policies
- 8 months 1 week ago
- RegTech
Global Relay, the leading provider of electronic communication compliance and archiving solutions, released its second annual Industry Insights Report: Compliant Communication 2024, discovering that despite a decrease of 15% year-over-year (YoY), WhatsApp bans prevail as the most-commonly used solution (43%) to marshal internal business communications.
Fenergo Launches AI Powered CLM to Supercharge Efficiency Gains Amid Intensifying Regulation and Cost Challenges
- 8 months 2 weeks ago
- RegTech
Fenergo – the leading provider of digital solutions for know your customer (KYC), client lifecycle management (CLM) and transaction monitoring – has today launched AI Powered CLM, a new set of AI capabilities which further boost operational efficiencies, accelerate onboarding and improve end-user experiences while reducing costs associated with KYC and AML compliance.
CUBE Acquires Global Regulatory Intelligence Businesses from Thomson Reuters
- 9 months 1 week ago
- RegTech
CUBE, a global leader in Automated Regulatory Intelligence (ARI) and Regulatory Change Management (RCM), announces today its acquisition of the Thomson Reuters Regulatory Intelligence and Oden products and businesses.
docStribute® Partners with Hinckley & Rugby Building Society to Transform Customer Engagement
- 9 months 1 week ago
- RegTech
docStribute, a leading UK RegTech (Regulation Technology) company specialising in regulated document distribution solutions, is excited to announce its strategic partnership with Hinckley & Rugby Building Society. This partnership reflects Hinckley and Rugby's focus on customer centricity through enhanced engagement with members, alongside the desire to move to more efficient business operations.
Global RegTech Consolidator Corlytics Acquires a Deloitte UK RegTech Platform
- 9 months 2 weeks ago
- RegTech
Corlytics, the global leader in regulatory intelligence and policy compliance technology, has acquired a digital RegTech platform from Deloitte UK. The announcement closely follows Verdane’s majority stake investment last month to cement Corlytics’ global category leadership.
Liminal Receives Initial Approval from VARA
- 9 months 3 weeks ago
- RegTech
First Answer Custody FZE, the Dubai entity of Liminal Custody Solutions, a leading provider of digital asset custody and wallet infrastructure solutions, has achieved a significant milestone.
Droit and FINBOURNE Partner to Deliver End-to-End Position Reporting Solution
- 9 months 3 weeks ago
- RegTech
Droit, a technology firm at the forefront of computational law and regulation, will partner with FINBOURNE Technology, a provider of cloud-based investment data management software, to launch an end-to-end position reporting solution for increased regulatory transparency. Over one hundred global jurisdictions have position reporting obligations, requiring market participants to report equity and equity derivatives holdings to regulatory bodies;... more
ComplyAdvantage Acquires Golden, Expanding Financial Crime Intelligence Offering
- 9 months 4 weeks ago
- RegTech
ComplyAdvantage, a leader in financial crime intelligence, today announced its acquisition of Golden (Golden Recursion Inc). Golden is a San Francisco-based innovator automating the construction of one of the world’s largest knowledge graphs, which shows interconnected data points and their relationships for the purpose of analyzing complex information.
