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Compliance
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compliance
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Prime Brokerage
Stater Global Markets Onboards David Dohmen as Head of Compliance
Dohmen joins the firm after spending over 17 years of his career in legal and compliance roles in Amsterdam and London.
Thursday, 09/02/2017 | 11:02 GMT
by
Victor Golovtchenko
Regulation
Redtail Integrates RIA in a Box to Facilitate Regulatory Compliance Tasks
The integration allows shared clients to view and complete tailored regulatory compliance tasks within the Redtail CRM.
Wednesday, 01/02/2017 | 06:37 GMT
by
Finance Magnates Staff
Regulation
AQMetrics Upgrades its Compliance Suite for MiFID II Compatibility
Ahead of MiFID II, AQMetrics is strengthening its risk management capabilities for buy- and sell-side firms.
Thursday, 12/01/2017 | 11:28 GMT
by
Jeff Patterson
Regulation
Risk Focus Signs Up to UnaVista’s Partner Programme
The partnership will enable the firm to deliver the independent controls demanded by ESMA’s MiFIR regulations.
Tuesday, 13/12/2016 | 14:02 GMT
by
Finance Magnates Staff
Technology
The Beast Apps Launches Minotaur to Provide MiFIDII Component Integration System
The solution helps banks deploy a comprehensive MiFID II solution ahead of the January 2018 deadline.
Wednesday, 07/12/2016 | 12:34 GMT
by
Finance Magnates Staff
Regulation
OTC Markets Launches Enhanced Compliance Analytics to Facilitate Risk Management
The solution helps broker-dealers to more efficiently manage risk when trading OTCQX, OTCQB, Pink and Grey Market securities.
Wednesday, 30/11/2016 | 08:04 GMT
by
Finance Magnates Staff
Blogs
The Changing Face of Compliance and Why You Should Be Concerned
What caused compliance and risk management to become the foremost concern of all financial services providers?
Wednesday, 02/11/2016 | 11:42 GMT
by
Eva Diaz
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Expert Insights
Risk Management, More Than Just A Book and B Book
Do you meet critical security and compliance requirements? Security isn't just smart, it’s often the law.
Friday, 21/10/2016 | 06:00 GMT
by
Jeff Wilkins
Technology
Trapets Chosen by Otkritie Capital to Host Trading Surveillance and AML System
The solution aims to detect market abuse and money laundering concerns for financial institutions.
Monday, 17/10/2016 | 08:06 GMT
by
Finance Magnates Staff
Execution
BNP Implements Commcise Buy in Response to Regulatory Requirements
Commcise will deliver a fully integrated cloud based solution for BNP's investment management division.
Tuesday, 06/09/2016 | 07:21 GMT
by
Finance Magnates Staff
Products
Product Review: Osyspro Aiming to Solve Compliance Problems for Binary Brokers
The solution is also opening the door for a new model that could make the binary options broker business more sustainable.
Tuesday, 30/08/2016 | 18:34 GMT
by
Victor Golovtchenko
Regulation
Every Mail You Send, Every Call You Make - Fonetic is Watching You
By email, phone call or chat, recording customer-supplier communications is vital. Fonetic USA CEO explains how it's done.
Monday, 29/08/2016 | 09:32 GMT
by
Dan Magen
Executive Moves
BNY Mellon Secures Robert Allan as its Head of EMEA Compliance Surveillance
Mr. Allan joins BNY Mellon after nearly 18 years at CIBC World Markets.
Thursday, 07/07/2016 | 17:11 GMT
by
Jeff Patterson
Regulation
Exane BNP Paribas Picks Corvil to Safeguard its Electronic Trading Business
Corvil has expanded its European footprint with the announcement of a new partnership.
Thursday, 16/06/2016 | 14:45 GMT
by
Finance Magnates Staff
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Technology
iSignthis and iFOREX Enter into Pilot Agreement to Enhance KYC Solution
Aimed to help iFOREX with onboarding and enhance iSignthis's KYC product.
Wednesday, 25/05/2016 | 08:24 GMT
by
Steven Hatzakis
Regulation
IPC Expands Range Of Compliance Solutions For Financial Firms
IPC has boosted its compliance offering to help firms face the challenges of increasingly stringent regulatory requirements.
Tuesday, 24/05/2016 | 11:09 GMT
by
Finance Magnates Staff
Technology
German Technology Provider GFT Launches New RegTech Solution
The new Regulatory Change Management Service from GFT was unveiled today.
Wednesday, 18/05/2016 | 09:07 GMT
by
Steven Hatzakis
Executive Moves
Capital Index Appoints Peter Wilson as New Head of Compliance
The brokerage is aiming to continue with its international expansion at a time when strong growth for the industry persists.
Monday, 09/05/2016 | 16:40 GMT
by
Victor Golovtchenko
Regulation
FINRA Issues Cross-Market Report Cards To Halt Spoofing and Layering
New equities supervision reports help firms identify potential market manipulation.
Thursday, 28/04/2016 | 19:03 GMT
by
Finance Magnates Staff
Executive Moves
Deutsche Bank Heads into H2 2016 With Revamped Compliance Team
Pamela Root and Peter Hazlewood will help steer Deutsche Bank's compliance operations heading into June.
Tuesday, 19/04/2016 | 13:22 GMT
by
Jeff Patterson
Technology
Corvil Launches MiFID II-Compliant Latency Monitoring Solution
Corvil boosts platform functionality to meet the new norm specified in ESMA Regulatory Technical Standards.
Thursday, 14/04/2016 | 21:15 GMT
by
Finance Magnates Staff
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Technology
RegTech Provider Kinetix Enters UK, CEO says "rules keep evolving"
Plans revealed during an exclusive call with Kinetix's CEO Amit Karande.
Thursday, 24/03/2016 | 14:29 GMT
by
Steven Hatzakis
Regulation
ANZ to Pay $4.5 Million in Compensation After Compliance Review
The Australian watchdog announces that ANZ Group has agreed to an independent review of its OnePath subsidiaries’ compliance.
Tuesday, 15/03/2016 | 10:05 GMT
by
Damian Chmiel
Regulation
KYC.com JV Expands Compliance Initiative to Singapore and Hong Kong
The compliance sharing joint venture backed by Markit and Greenpact expands to Asia as support arrives in Hong Kong and Singapore.
Thursday, 18/02/2016 | 08:33 GMT
by
Ron Finberg
Execution
Markit Selected By UBS For Index Management in Bid to Streamline Compliance
The new partnership with UBS is important for both parties as it will help facilitate the delivery of the lender’s index offering.
Tuesday, 26/01/2016 | 12:11 GMT
by
Jeff Patterson
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