Compliance & Regulation - Articles and news items

Frontierpay raising awareness of importance of compliant payments

Legislation  •  16 February 2017  •  Frontierpay

Frontierpay will work to educate the Global Payroll Association and the Expat Academy on the importance of reliable, secure and compliant payments.

Arendt to use Confluence’s Unity NXT Regulatory Reporting for AIFMD

Legislation  •  13 February 2017  •  Confluence

Arendt has chosen Confluence’s Unity NXT Regulatory Reporting AIFMD Transparency Reporting solution to aid customers with complex AIFMD reporting.

Cleaning up compliance to tackle money laundering

Blog, Z Homepage promo  •  10 February 2017  •  Steve King, Head of Corporate Compliance, Travelex

Money laundering is a huge issue in FX with at least $800 billion laundered each year. What can be done to prevent it and raise standards?

Ancoa’s AWS market surveillance platform comes to Convergex

Legislation, Trading news  •  8 February 2017  •  Ancoa/Convergex

Convergex has chosen Ancoa’s platform for market surveillance as regulatory requirements for market abuse become tighter.

Erste Group Bank chooses Asset Control’s AC Plus for MiFID II compliance

Legislation  •  6 February 2017  •  Erste Group/Asset Control

The bank is due to go live with AC Plus for its PRIIPs initiative in September, and will apply the same central security master architecture for MiFID II.

How are currency investors using technology to optimise trading?

Expert Views, February 2017  •  5 February 2017  •  David Vincent, CEO, smartTrade Technologies

The post-financial crisis world has seen change brought to the FX market. Currency investors are leveraging tech to optimise trading and be compliant.

Irish Funds collaboration working to develop regulatory reporting blockchain PoC

Legislation, Technology news, Z Homepage promo  •  2 February 2017  •  Irish Funds

A collaborative effort between Irish Funds, Deloitte and a group of industry participants is seeing the development of a regulatory reporting blockchain PoC.

CG Asset Management to use INDATA’s iPM Epic platform

Technology news  •  2 February 2017  •  INDATA/CG Asset Management

CG will use INDATA’s iPM Epic cloud-based platform for OMS & front-office, IBOR, compliance, portfolio accounting and data management.

Truphone launch SMS recording for all devices, sign up tier 1 investment bank

Technology news  •  27 January 2017  •  Truphone

Truphone’s SMS recording solution has been chosen by a US tier 1 investment bank, as those in financial services continue the transition from Blackberry.

Risk Focus announces launch of RegTek Solutions

Legislation  •  24 January 2017  •  Risk Focus Inc

RegTek, a new wholly-owned subsidiary of Risk Focus, will act as the new home for Report-it, a suite of global control and compliance software.

Global cartel enforcement fines reached $7.7bn in 2016

Legislation  •  18 January 2017  •  Morgan Lewis

A Morgan Lewis report estimates that fines from cartel enforcement were as high as $7.7bn in 2016, with some cases bringing individual fines of $1bn.

DTCC appoints Derek West as Chief Compliance Officer for GTR business

Movers & appointments  •  17 January 2017  •  DTCC

Formerly of the AMF, Mr West will be responsible for ensuring GTR Europe remains compliant with EMIR trade repository requirements.

Regulation remains top priority for financial services decision makers

Legislation, Technology news  •  9 January 2017  •  Synechron

Research from Synechron, supported by TABB survey data, shows that regulation is once again the highest priority for decision makers in financial services.

Trade-based crime: the digital solution

December 2016, Expert Views  •  18 December 2016  •  Heather Lee, Product Lead, Trade Compliance, Accuity

Digitisation and automation of compliance checks in trade finance can ensure firms remain compliant and reduce trade-based crime.

Why banks should act now in the face of regulatory pressure

December 2016  •  18 December 2016  •  Clive Pedder, Executive Vice President and General Manager, Wolters Kluwer’s Finance, Risk & Reporting business

Banks need to act now to meet increasing regulatory demands and achieve a strategic hold on compliance requirements, says Clive Pedder, Wolters Kluwer.

 

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