Reporting/compliance

1759 articles tagged with this keyword

All articles with this keyword
Apply Cancel

/Reporting/compliance

CFTC fines Citi $550,000 for LEI failings

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Citibank, N.A. (CBNA) and Citigroup Global Markets Limited (CGML) (collectively, Citi), for failing to report Legal Entity Identifier (LEI) information for swap transactions properly to a Swap Data Repository (SDR), failing to establish the electronic systems and procedures necessary to do so, failing to correct errors in LEI data previously reported to an SDR, and failing to perform supervisory duties diligently with respect to LEI swap data reporting, all in violation of CFTC Regulations.

/Reporting/compliance

Thomson Reuters adds business data to Clear ID checks

As part of the CLEAR online investigations suite, CLEAR ID Confirm leverages comprehensive, up-to-date public and proprietary data to enable organizations to complete identity verification tasks, including risk evaluation and business vetting.

/Reporting/compliance

Financial crime compliance costs soar

New regulation and advancing criminal methodologies have seen financial crime compliance costs continue to soar in financial institutions in the last two years, according to new research from LexisNexis Risk Solutions, the global information solution provider, a part of RELX Group.

/Reporting/compliance

Iress invests in Australian RegTech firm Lucsan

Australian technology leaders, IRESS and Lucsan, today announced a partnership that will accelerate the application of RegTech in the financial services landscape.

European Commission makes fintech a priority in supervisory shakeup

/Reporting/compliance

European Commission makes fintech a priority in supervisory shakeup

The European Commission is proposing to reform financial supervision across the EU with a renewed focus on new technology developments and the promotion of the emerging fintech sector.

/Reporting/compliance

EquiLend and Trax come together to tackle SFTR reporting

EquiLend and Trax are collaborating on a full front-to-back Securities Financing Transactions Regulation (SFTR) solution to support mutual clients in their SFTR reporting requirements.

/Reporting/compliance

Linedata plugs in new interface to DTCC CTM

Linedata (Euronext Paris:LIN), the global solutions provider dedicated to the investment management and credit industries, today announced the extension of its 10-year strong partnership with The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure.

/Reporting/compliance

Kaizen hires former DTCC man Mooney as regulatory consultant

Leading regulatory reporting assurance company Kaizen Reporting is pleased to announce that James Mooney has joined its team in London as a regulatory consultant.

/Reporting/compliance

Cordium expands MiFID II offering with Infrastructure Collateral Service

Cordium, the market-leading provider of governance, risk and compliance services, is enhancing its comprehensive MIFID II compliance offering for investment firms with the launch of its MIFID II Infrastructure Collateral Service.

/Reporting/compliance

Santander selects Fenergo for streamlined client onboarding

Fenergo, the leading provider of Client Lifecycle Management software solutions for investment, corporate and private banks, has today announced that Santander has selected its core technology solution to achieve a streamlined client onboarding process.

/Reporting/compliance

R3 unlocks regulatory reporting on Corda with Financial Conduct Authority and two global banks

Enterprise software firm R3, the Financial Conduct Authority (FCA), RBS and another major global bank have built a prototype application for regulatory reporting of mortgage transactions on R3’s Corda distributed ledger technology (DLT) platform.

/Reporting/compliance

Metamako selects Avelacom for FPGA connectivity

Global connectivity provider Avelacom announced today that it is now using Metamako, the leading specialist provider of FPGA-enabled, high-performance networking devices, to significantly accelerate its network processing power and keep latency to an absolute minimum.

China's fintechs look at overseas IPOs to raise funds

/Reporting/compliance

China's fintechs look at overseas IPOs to raise funds

The tightened regulatory environment in China is leading number of its largest fintech startups to consider launching initial public offerings (IPOs) overseas in order to raise funds.

/Reporting/compliance

Corlytics appoints new director to European leadership team

Corlytics, the world leader in regulatory risk intelligence, has announced the appointment of Severine Melis-Cooper as the new director of EMEA sales.

/Reporting/compliance

Fortis Insolvency selects encompass verify for KYC compliance

Business and personal insolvency experts, Fortis Insolvency, has selected encompass verify to support and enhance their Know Your Customer (KYC) compliance processes.

/Reporting/compliance

HSBC compliance expert joins UK fintech startup

Fintech startup Paybase, which delivers an end-to-end solution for payments, compliance and risk, has hired former HSBC Financial Crime and Compliance Manager, Danielle Herndon, as Head of Compliance and MLRO (Money Laundering Reporting Officer).

/Reporting/compliance

Kempen selects SimCorp for client reporting

SimCorp, a leading provider of investment management solutions and services for the global financial services industry, has announced that Kempen, a Netherlands based asset manager with EUR 49.5 billion in assets under management, has selected SimCorp Coric to replace an incumbent legacy reporting solution.

/Reporting/compliance

Boat gets FCA approval for MiFID reporting service

Regulatory approval has been granted by UK’s Financial Conduct Authority (FCA) enabling the trade reporting service TRADEcho to enter the final phases of preparation for MiFID II.

/Reporting/compliance

Peel Hunt picks Torstone for MiFID II reporting

Torstone Technology, the leading provider of post-trade securities and derivatives processing, today announces that Peel Hunt, the leading independent corporate broking, advisory and trading house has selected Torstone’s InfernoRC module in order to comply with the transaction reporting obligations of the Markets in Financial Instruments Directive (MiFID II) and its accompanying Regulation (MiFIR).

Hong Kong and Dubai pledge fintech allegiance

/Reporting/compliance

Hong Kong and Dubai pledge fintech allegiance

The respective regulators of the Hong Kong and Dubai financial markets have signed an agreement designed to further their mutual cooperation on all things fintech.

Welcome to Finextra. We use cookies to help us to deliver our services. You may change your preferences at our Cookie Centre.

Please read our Privacy Policy.

Accept