CFTC Fines Nasdaq Futures $22M for Core Principle Violations and Misleading Disclosures
- 8 months 4 days 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
- 8 months 3 weeks 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
- 9 months 4 days 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
- 10 months 3 weeks 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
- 11 months 1 day 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
- 11 months 2 weeks 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
- 11 months 3 weeks 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
- 11 months 4 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
- 1 year 1 day 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
- 1 year 1 day 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
- 1 year 1 week 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.
DTCC Collaborates with REGnosys to Support ISDA Digital Regulatory Reporting
- 1 year 2 weeks ago
- RegTech
DTCC, the premier post-trade market infrastructure for the global financial services industry, today announced that it is working with REGnosys to support industry adoption of the ISDA Digital Regulatory Reporting (DRR) solution and aid compliance with forthcoming global derivatives trade reporting rewrites. The ISDA DRR establishes a golden-source interpretation of market practices and trade reporting logic, developed through industry consensus.
FullCircl Continues to Reimagine Prospecting for Regulated Businesses
- 1 year 3 weeks ago
- RegTech
FullCircl, a UK-based SaaS platform that removes regulatory and verification roadblocks to drive revenue growth, has announced the launch of ‘Find Companies’, its reimagined prospecting tool designed to help regulated businesses build an intelligent prospecting strategy for today’s dynamic market.
Wolters Kluwer Launches AI-powered OneSumX® Reg Manager to Enhance Regulatory Change Management
- 1 year 3 weeks ago
- RegTech
Wolters Kluwer Compliance Solutions has launched OneSumX® Reg Manager to help U.S. community banks and credit unions enhance their regulatory change management efforts.
Moody’s Partners with TrueBiz to Automate Merchant Risk Assessment
- 1 year 4 weeks ago
- RegTech
TrueBiz, a specialist in automated merchant risk assessment, is excited to announce its partnership with Moody’s, a global leader in digital KYC and AML solutions. This collaboration aims to streamline how financial institutions (FIs) verify the businesses they are onboarding with a more efficient and secure experience.
