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Products

Marketing Agency Contentworks Launches Compliant Affiliate Content Product

  • For websites that are keen to continue operating in the industry, the alternative is rather expensive.
Wednesday, 05/07/2017 | 15:34 GMT by Victor Golovtchenko
Executive Moves

Fullerton Markets Promotes Paul Turner, Hires New Compliance Exec

  • Paul Turner has been elected to the position of Executive Director at Fullerton Markets
Friday, 30/06/2017 | 09:01 GMT by Victor Golovtchenko
Execution

Eze Software Deploys New Platform, Focusing on MiFID II Buy-Side Obligations

  • The platform focuses on research evaluation, budgeting, unbundling, and the specification of RPA payments.
Wednesday, 21/06/2017 | 13:59 GMT by Jeff Patterson
Prime Brokerage

Credit Suisse Deploys Robots to Answer Compliance Questions

  • Swiss banking giant Credit Suisse is using a brand new approach to tackle regulatory burdens
Tuesday, 02/05/2017 | 19:20 GMT by Victor Golovtchenko
Prime Brokerage

Deutsche Bank’s Compliance Staff Hiring Bucks Trend of Layoffs

  • At least one segment of Deutsche Bank has seen an increase of hires at a time when the rest of personnel are on notice.
Monday, 01/05/2017 | 11:34 GMT by Jeff Patterson
Technology

Match-Trade Technologies Deploys MiFID II, ESMA Compliant Service

  • Match-Trade Technologies has introduced a new solution for brokers as the regulatory playing field takes shape.
Monday, 20/03/2017 | 14:03 GMT by Jeff Patterson
Regulation

Abide Financial Acquisition Yields New NEX Regulatory Reporting Solution

  • The new compliance solution from NEX is a direct result of its Abide Financial acquisition into MiFID II reporting.
Thursday, 09/03/2017 | 08:56 GMT by Victor Golovtchenko
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
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
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
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