Compliance & Regulation

The need for wealth managers to be compliant with a wide range of consistently changing regulatory rules has been right at the top of the agenda for the last decade. As the rules, demands and risks continue to evolve, wealth managers must continue to evolve their response, processes and technologies. Fortunately, there has been an active response from technology and robust RegTech solutions have emerged to support the compliance and regulatory needs of wealth managers. Our Compliance & Regulation business need includes many of them to support wealth managers in their discovery, understanding and engagement.

  • Total Solutions410
  • Solution Providers254
  • Knowledge Resources184
Business Needs Filters
Office Presence Clear

Featured Solutions

Zurich, Switzerland

Apiax Platform

The Apiax Platform provides legal, compliance, and risk experts with everything they need to transform written regulations into digital compliance rules. It combines a no-code digitalisation environment with advanced collaboration, governance and risk management features. The Apiax Platform allows companies to close the gap between compliance, business, and technology units,......

Client type
Relevant Regions
Zurich, Switzerland

Onboarding for Wealth

Appway is the global leader in client onboarding for the financial services industry. Onboarding for Wealth enables leading wealth managers, private banks, and family offices to provide their high net worth clients (HNWIs) with a personalized experience while guaranteeing compliance to local and global regulations Onboarding for Wealth combines digital and physical......

Client type
Relevant Regions
Zurich, Switzerland

Regulatory Reviews for Wealth

Regulatory Reviews for Wealth enables a data-driven orchestration of the compliance process that provides a holistic overview of clients. Regulatory reviews are expedited due to data centralization and the monitoring of internal tasks, which are assigned according to priorities. Compliance experts can design the review process and meet deadlines with the......

Client type
Relevant Regions
Herzila Pituach, Israel

Cappitech

Using Cappitech's platform, our customers easily automate and submit their daily trades to comply with international financial transaction reporting obligations including: MiFID II/MiFIR: Transaction/trade reporting RTS 27/28 reporting  Best execution  Reconciliation EMIR transaction reporting ASIC derivative reporting MAS OTC derivative reporting Canadian trade reporting FinfraG derivative reporting SFTR reporting With Cappitech, firms not only fulfill their compliance reporting obligation but using......

Client type
Relevant Regions
New York, NY, United States

Chainalysis Kryptos

Do you know how many of your clients own cryptocurrencies? Cryptocurrency is a rapidly emerging technology, presenting new challenges to how financial services institutions comply with Know Your Customer (KYC) and Anti-Money Laundering (AML) requirements and ultimately increasing the costs of doing business. Institutions that can identify the cryptocurrency businesses with which......

Client type
Relevant Regions
New York, NY, United States

Chainalysis KYT

Cryptocurrency businesses need to build anti-money laundering (AML) compliance programs that will satisfy banking and regulatory relationships. Without proper controls in place, businesses engaging with this new asset class could be excluded from the financial system or face regulatory action. Best-in-class AML compliance requires automated transaction monitoring to reduce false......

Client type
Relevant Regions
London, United Kingdom

Cognitiv+ Review Platform

Cognitiv+’s machine learning technology can analyse your documents and provide you with actionable insights. Through the artificial intelligence-powered Review Platform you can automatically review, identify and extract key provisions and obligations from all your corporate and legal documents.  Whether outsourcing a compliance audit, merger & acquisition due diligence or day to day......

Client type
Relevant Regions
London, United Kingdom

ReportShield™

ReportShield is most effective when delivered as a managed service with testing and reconciliations taking place at a frequency suited to your business. You can mix and match components to your business needs and the service can also be used to deliver a one-off health check of your regulatory reporting. The service......

Client type
Relevant Regions

All Solutions

New York, NY, United States

ACA Regulatory Reporting

ACA Regulatory Reporting (“ACA RR”) is the industry-leading platform for aggregating, reviewing, and submitting regulatory filings including Form PF, Form 13F, AIFMD Annex IV, and CPO-PQR. Coupled with support from ACA’s experienced regulatory compliance team, ACA RR has been successfully used by firms of all sizes to more efficiently meet......

relevant regions
New York, NY, United States

Accudelta

Accudelta is an end-to-end regulatory data management platform that leverages workflow,  business rules, and data accessibility functionality to enable your firm to efficiently scale regulatory reporting and data distribution operations. Central store Single solution – Access a high quality, central location to complete all data requests Data consistency & accuracy – Use a single, trusted......

relevant regions
London, United Kingdom

Accuracy Testing

Utilising our multi-dimensional testing methodology, accuracy testing fully assesses the quality of data reported to the regulator. Checks all reported data fields for accuracy, validity and timeliness. Delivers full visibility of reporting quality. Identifies over-reporting. All reported records are tested for MiFID II reporting. All open positions are tested for......

relevant regions
London, United Kingdom

Acin

We have created a unique solution, based on a standardised library of risks and controls, and a common taxonomy which has, at its core, a system of unique identification numbers or ACINs. It relies on a centralised database of control designs smart-mapped to the risks faced by each individual business......

relevant regions
Hoboken, NJ, United States

Actimize CDD Software Suite

Today’s global regulatory compliance standards for Know-Your-Customer (KYC) and Customer Due Diligence (CDD) apply not only to new customers, but also to existing customers on an ongoing basis. Your compliance responsibilities include managing information gathering, profiling appropriately, identifying ultimate beneficial owners, and updating risk scores for ongoing due diligence. Financial institutions......

relevant regions
Gryta 2B, 7010 Trondheim, Norway
Trondheim, Norway

Advanced authentication with Signicat Connect

Safe and secure Our authentication solutions, which are a core part of the Signicat Connect product line, give you confidence that you can trust who you are engaging with. We offer a number of critical, compliant solutions that help you to engage securely and simply. Cross-border authentication We connect with over 20 national......

relevant regions
London, United Kingdom

Advanced Regulatory Reconciliation

Our end-to-end reconciliation service tests for the completeness of reporting. Independently applies the reporting criteria. Identifies mismatches of data between a firm’s trading systems and what has been reported to the regulator. Pairing and matching. Includes reported and non-reported trades....

relevant regions
Milan, Italy

Advice - Compliance & Risk

Could your firm stand up to MiFID II requirements? Assess and clearly document customer’s risk profile and investment rationale using a real time engine which provides actionable insight and historical information management....

relevant regions
Sydney, NSW, Australia

AdviserLogic

Statement of advice Reduce time spent on modelling, researching products, and generating a Statement of Advice by selecting pre-defined or custom advice strategies. FoFA compliance tools Easily consolidate client records and file notes for regulatory purposes. Get support meeting FoFA requirements with templates for FDS production and opt-in management. Business management tools With our powerful......

relevant regions
Toronto, ON, Canada

Advisor360°

Risk factor examples Advisor360° has the ability to include up to 12 risk data points for the advisor risk calculation. Examples include: Percentage of accounts with suitability issues Open suitability inquires Close / strict supervision flags Excessive trading flags How it works Through the use of risk factors available in the Advisor360° catalog of data elements (each......

relevant regions
Knoxville, TN, United States

Advisor Alert

Providing sound, knowledgeable investment advice is important in building secure and stable financial futures for your clients. Compliance, however, can be harder to manage. Smart RIA is a secure, cloud-based compliance platform that saves you time and money, so you can focus on growing your business.  The features of Smart RIA include: Task......

relevant regions
Radnor, PA, United States

Advisor Assurance

A snapshot of your entire firm Compliance plays a big role in your day-to-day. Find quick views of data across your entire firm, helping you manage your fiduciary responsibilities....

relevant regions
St Kilda, VIC, Australia

advsr

Compliance automated Protect your business from fines or loss of licence by ensuring all your advisors are meeting ASIC regulations. Automate Financial Disclosure Statements (FDS) and opt-in reminders, and payments to advisors keeping you compliant with ASIC. Consolidates and automates your data No more losing track of your revenue and commission, and spending large......

relevant regions
London, United Kingdom

AFC SUITE

Our software provides simple installation solution with the right blend of human interaction. It ensures that your business AML needs are met efficiently and effectively. Your business can thrive and offer first class customer service, and take all reasonable steps to prevent money laundering and terrorist financing. Our automated solutions focus on the highest levels of quality in software and compliance through......

relevant regions
Abingdon, United Kingdom

AML Checks

Despite all the additional effort expended, manual and paper-based AML and compliance checks often result in dissatisfied customer, slow on-boarding and lost opportunities, as well as a negative impact on operational efficiency. In a competitive market customer/client onboarding processes need to be fast, straightforward and as automated as possible. NorthRow works......

relevant regions
Sussex, United Kingdom

AMLGuard

Our standard AML checks. For an individual resident in the UK, we verify their identity using our links to Experian. Checking the supplied details against a database of records larger than any other provider of these services. Data comes from the full electoral roll, current accounts, mortgages, cards, rental agreements,......

relevant regions
Alpharetta, GA, United States

AML Insight

Rely on LexisNexis AML InsightTM to deliver leading content and technology to speed identity verification, strengthen anti-money laundering (AML) compliance, fortify risk mitigation and support enhanced due diligence for key know your customer (KYC), Customer Identification Program (CIP) and Bank Secrecy Act (BSA) regulations. Confident business decisions begin with clear risk insight LexisNexis delivers leading......

relevant regions
Sussex, United Kingdom

AMLLite

For certain customers a simplified check is all that is needed, just to ensure they are not on a government sanctions list or a politically exposed person. This could be because they have given physical ID, are a minor beneficial owner or a regulated business. Our AMLLite solution provides you......

relevant regions
London, United Kingdom

AML Onboarding & Montoring

Seamless onboarding for a competitive advantage Avoid ‘over-screening’ and ensure customers are onboarded quicker and easier by tailoring your screening profiles to your risk-based approach. By utilizing an automated system that can screen with better accuracy, you can significantly reduce the cost of compliance. Automated, ongoing risk monitoring Stay on top of changes in......

relevant regions
Sussex, United Kingdom

AMLPlus

When you are looking to take your AML checking a step further. Maybe the customer or product is a higher risk to your business. This is where AMLPlus comes in. Consisting of all the elements of our AMLGuard service and then taken a step further. Upon completion of the verification and......

relevant regions
Luxembourg, Luxembourg

AMLspotter

AMLspotter is a global software that fits all your needs regarding your AML obligations. It enables you to run a complete analysis of your global AML/CTF risk for your management or the auditor. AMLspotter has been tailored to answer the needs of the following individual activities: private bank, corporate service provider, asset......

relevant regions
Petah Tikva, Israel

Android Archiver

Capture and archive Mobile SMS/MMS/calls Messages/calls are captured by the mobile operator at the network level, a copy is sent to the TeleMessage archive server Used for enterprise owned phones, not for BYOD devices Works for Smartphones and legacy phones No App necessary This solution offers cost reduction and complexity management Use this solution when: You manage,......

relevant regions
Caerphilly, United Kingdom

Anti-Money Laundering

How can Creditsafe's AML checks protect and grow your business? Our AML checks bring together hundreds of data sources online in an instant, removing the need for physical storage whilst saving you both time and money. Verify a client’s ID instantly Make sure your client is who they say they are and meet......

relevant regions
London, United Kingdom

Anti-Money Laundering

Banks worldwide spend more than $8 billion annually on Anti-Money Laundering (AML) activities, and the market is predicted to have a compound annual growth rate of almost 20% through 2024. Unfortunately, criminals are also accelerating their activity, exploiting increased volume and breadth of transactions across financial institutions. Only by maximizing......

relevant regions
Zurich, Switzerland

Apiax Apps

The Apiax Apps are designed to answer the most pressing regulatory questions. Accessible via the browser and powered by the knowledge of leading experts, the apps are built to enable easy compliance with global regulations. Already covering a broad range of topics in financial services – including investment advice, data......

relevant regions
Zurich, Switzerland

Apiax Data

Apiax maintains a repository of ready-to-use digital compliance data. Developers can get easy access to this data through a state-of-the-art API, enabling them to add a compliance layer to digital processes and products with only 5 lines of code. Already covering the most pressing use cases in financial services, this......

relevant regions
Maynooth, Ireland

AQMetrics Platform

The AQMetrics platform puts it all together for you. It simply keeps your firm updated, informed and compliant. After all, isn’t that what you want — to be compliant, without the overhead. One of the leading benefits to adopting AQMetrics platform is that it provides a cross-jurisdictional regulatory risk and reporting hub.......

relevant regions
London, United Kingdom

Arc

The ARC platform is a complete remediation and new client onboarding platform, allowing organisations the ability to streamline and categorise customer data and risk in a single digital solution. It offers an innovative answer, to enable the collaborative administration of one-off and ongoing customer due diligence (CDD) and where required enhanced......

relevant regions
Chicago, IL, United States

ArcFiling℠

One source for managing global regulatory data. One source of confidence. Introducing your Regulatory Book of Record. Build, access and maintain your RBOR with ArcFiling. Experience the first-ever consolidated view of your global investment data and regulatory records. Create and self-file high-quality regulatory documents such as Forms N-MFP, N-PORT and N-CEN. With ArcFiling, part......

relevant regions
Durham, NC, United States

ArchiveSocial

Social Media Compliance Can't Wait Registered Investment Advisors (RIAs) and Broker Dealers are highly scrutinized by both the SEC and FINRA, and their use of social media is no exception. Regulatory notices such as FINRA 10-06 and FINRA 11-39 detail the need to archive social media records. FINRA performs regular spot-checks of......

relevant regions
Chicago, IL, United States

ArcRegulatory

When your regulatory reporting obligations have no borders, you need a solution that can manage it all, from UCITS KIIDs to PRIIPs and MiFID II reporting. Whether you are an asset manager or an insurer, with ArcRegulatory, part of DFIN’s portfolio of end-to-end solutions, you get: An advanced user experience for consistent......

relevant regions
Geneva, Switzerland

ARDIS

ARDIS contains terabytes of multi-lingual, cross-jurisdictional, interlinked compliance and economic data, empowering any user with speedy access to data in a wide range of languages. With ARDIS, we have managed to reduce tasks that previously required hours of highly-sophisticated compliance research to mere seconds, allowing the human analyst simply to read......

relevant regions
Singapore, Singapore

Ares

To ensure a seamless user onboarding, Cynopsis Solutions has built Ares, the digital user onboarding platform to provide a digital non-face-to-face (e-KYC) onboarding process. With this platform in place, businesses will have an option to conduct e-know-your-customer (e-KYC) which integrates with their framework effortlessly in this digital era. Ares will include......

relevant regions
Hitchin, United Kingdom

Armadillo Anti-Money Laundering

Armadillo have been helping companies all over the world complete their due diligence and anti-money laundering identity verification checks on individuals since the 1990’s. We have resources and partners around the world giving us access confidential reports from over 100 countries and over 50 million individuals, includes deceased persons. Sources include the......

relevant regions
Hitchin, United Kingdom

Armadillo Compliance

Armadillo Compliance, which also incorporates a UK regulated law firm, can assist you and your client by taking over all KYC requirements, do our own checking and then introduce the client back to you with a full due diligence screen. Your client confidentiality is assured as we are also a......

relevant regions
Hitchin, United Kingdom

Armadillo Enhanced Due Diligence

Armadillo enhanced due diligence Used by hundreds of organisations across the world, Armadillo's Enhanced Due Diligence services provide detailed background checks on any entity or individual, no matter where they are located in the world. Our vast selection of reliable risk management services and solutions include: Verification services Prospective partners in mergers and acquisitions Background......

relevant regions
Hitchin, United Kingdom

Armadillo I-Docs

Software solutions: For clients with larger and more frequent requests, Armadillo Tech can create a bespoke and dedicated, fully responsive, Web application for you and your customers, with secure login and document delivery. Depending on your requirements we can either send this directly to you via email or, set up a......

relevant regions
Singapore, Singapore

Artemis

Artemis is built specifically to address the ever-changing AML/CTF requirements prescribed by regulators in Singapore and elsewhere and is intended to be used by financial institutions, corporate services providers, accountants and lawyers to assist them better comply with regulatory requirements on KYC, risk assessment, record keeping, screening and on-going due diligence obligations. ​With......

relevant regions
Salisbury, CT, United States

Ascendant Compliance Manager

The Ascendant Compliance Manager is a comprehensive tool to manage and analyze compliance and operational risks to a firm and to stay up to date on regulatory requirements and compliance alerts. The Ascendant Compliance Manager offers the busy compliance professional a centralized place to find compliance resources, risk inventories and matrices,......

relevant regions
New York, NY, United States

Ascendant Compliance Manager

For compliance teams, pulling it all together is a complex and laborious process fraught with the perils of what might have been missed along the way. ACM’s enterprise compliance management platform makes it easy to monitor your offices, facilitate communication, meet your regulatory requirements, build and maintain a library of......

relevant regions
London, United Kingdom

Assure

The Assure solution adds a valuable layer of insight onto your recordings. Your assurance teams are given a dashboard view across all recorded customer interactions. Key patterns and trends can be easily identified as they develop, providing critical management intelligence that can shape business decision making. Companies use Recordsure to both......

relevant regions
Singapore, Singapore

Athena

Athena is the simple and cost-effective automation of transaction monitoring for financial institutions governed by regulatory bodies such as the MAS in respect of combating money laundering and terrorism financing activities. The rules in Athena are designed specifically for the money remittance industry. ​​Financial Action Task Force (FATF) recommends that on-going transaction monitoring must be......

relevant regions
Immenstaad, Germany

Avaloq Business Rules Standard Adapter

Many Avaloq banks are facing the implementation of requirements from MIFID 2, PRIIPs and FIDLEG. Guidelines for investor protection, especially regarding cross-border banking, have to be implemented. Investment suitability and, as a result, Avaloq's Investment Suitability Framework are the focus of attention. An extensive set of complex business rules have to......

relevant regions
Atlanta, GA, United States

BasisCode Compliance suite

Core software for organizations with basic compliance needs; enterprise software for firms requiring more comprehensive solutions. Every BasisCode compliance software solution is scalable and flexible to meet your organization’s requirements. BasisCode Compliance Essentials The core of a robust compliance and reporting program. Essentials covers testing and certifications, risk assessment, gifts and entertainment,......

relevant regions
Woodland Hills, CA, United States

Batch Risk Assessment

AdvisoryWorld's Batch Risk assessment automates the process of visualizing multiple risk factors across a financial service firm's entire book of business. Analyzing systematic portfolio construction risk is a critical component of compliance oversight. The importance of risk management has been underscored with the SEC’s approval of FINRA's new suitability rule......

relevant regions
Glasgow, United Kingdom

Bespoke Compliance

Introductory & consultation visit As part of your introductory & consultation visit, we work together to fully understand your needs and how our support can ease the regulatory burden upon your firm. We will identify areas of priority, or any areas of concern, upon which you would like us to focus our......

relevant regions
Powhatan, VA, United States

Best Interest Scout℠

Best Interest Scout℠ is a stand-alone information-gathering tool that is designed to help you comply with the DOL regulations. It provides a standardized process to get client data to help you evaluate their full financial circumstances and determine whether they are invested in their best interests....

relevant regions
London, United Kingdom

BITA risk

The applications enhance the investment process of your firm rather than constrain it by improving the understanding, analysis and reporting of portfolios to better meet the needs and expectations of clients. For private banks and wealth managers, bita risk helps support client acquisition and retention. It offers a comprehensive package enhancing......

relevant regions
Lakeville, CT, United States

Blue Sky Solution System

Blue Sky SolutionTM System is a state-of-the-art application designed to streamline the blue sky filing and compliance monitoring process. Developed with three primary objectives — efficiency, accuracy and electronic filing — the Blue Sky Solution System is the country’s premier blue sky compliance application. As a result of its user-friendly interface, accuracy,......

relevant regions
Geneva, Switzerland

Board of Director's Dashboard

The purpose of this product is to enable the supreme governing body to exercise its prerogatives in line with regulatory requirements and with FINMA’s expectations. The BoD Compliance Solution offers a synoptic table presenting: The organisational requirements of the Board of Directors; The Board of Directors prerogatives according to the practice of the......

relevant regions
Toronto, ON, Canada

Branch360°

Risk factor examples Branch360° uses a number of PA360°-generated data elements. Some of the risk factors used to create a branch risk rating may include: Number of accounts under suitability review Number of KYC incomplete accounts in the branch Number of leveraged accounts in the branch Branch commission/total branch AUA How Branch360° works Through the use of......

relevant regions
Cardiff, United Kingdom

BSMART™

BSMART™ (Batch Screening Monitoring and Reporting Tool) takes your customer records and performs routine, on-going screening and monitoring against the data sources of your choice. The frequency of screening and matching thresholds can be configured based on your own requirement and any matches are highlighted via an automated alert notification system. Alerts......

relevant regions
San Diego, CA, United States

CAESAR

CAESAR’s open architecture allows you to leverage the data your back office and integrate CAESAR with other applications. Front office workflow fused with back-office processing Docupace Technologies and Financial Database Services, have joined forces to connect Docupace’s ePACS Front Office workflow with CAESAR’s digital compliance review and compensation processing.     Broker-dealer complianceCAESAR’s compliance rules engine......

relevant regions
San Diego, CA, United States

CAESAR Registrar

Registrar is an on-line wizard that guides representatives through the form U4 process. The Form U4 is the uniform application for securities industry registration or transfer required by FINRA for representatives and investment advisers of broker-dealers.   Streamlines the form U4 process for both representatives and the Back Office. Completed Form U4’s approved by......

relevant regions
Vienna, Austria

Capital Imperion

Technology and financial services are progressing hand-in-hand to deliver faster customer services, cost efficiencies and competitive offering. Our CAPITAL solution automates traditional spreadsheet-based tax calculations for income from capital.  To save your time & costs, increase quality and improve your customer experience. Annual tax reporting  Annual calculation of taxable income Production of detailed tax reports For......

relevant regions
Herzila Pituach, Israel

Cappitech EMIR Solution

Cappitech EMIR reporting solution offers: SaaS & automation: Significantly cuts the initial IT and labor costs to begin reporting and the ongoing work required to keep the reporting compliant as laws are updated regularly. Operational excellence: Our client services team monitors client trades on an ongoing basis, alerts and helps fix any......

relevant regions
Herzila Pituach, Israel

Cappitech Insights

Our analytics tool ‘Insights’ provides actionable information at-a-glance including the top reasons for rejections and granular data on late reports. Accessible via an intuitive dashboard, Insights allows compliance officers to set Key Performance Indicators (KPIs) and measure their compliance reporting capabilities against the industry standard. Cross-regulation, it covers client reports......

relevant regions
Herzila Pituach, Israel

Cappitech MiFID II/MiFIR Solution

Cappitech's MiFID II solution includes MiFID II transaction reporting, RTS 27/8 reporting, Insights, RTS 27/8 Market intelligence and trade reconciliation. Transaction reporting: Automate your MIFID II and RTS 27/ 8 reporting with the Capptivate Multi Regulation Platform, a single platform for all our transaction reporting needs. Insights: Gain insights into your transaction......

relevant regions
Herzila Pituach, Israel

Cappitech RTS 28 Marketing Intelligence

Provided in a user-friendly dashboard, RTS 28 Analytics helps asset managers and risk managers improve their competitive edge and provide customers with better execution. Monitor the quality of your firm’s execution against peers and industry averages Compare and analyse execution venues and brokers to optimise your ongoing assessment of execution quality Flag areas......

relevant regions
Herzila Pituach, Israel

Cappitech SFTR Solution

Cappitech is a leading provider of regulatory reporting and intelligence solutions for the financial services industry. Capitalising on our big data technology and in-depth regulatory expertise, Cappitech provides an efficient and cost-effective way for firms to comply with SFTR regulation. Being a relatively new regulation, SFTR reporting is a natural extension......

relevant regions
Zurich, Switzerland

CBFSSigning

The CBSSigning Service provides a legally binding, digital contract for natural and legal persons using regulated certificates. The PDF documents are delivered via a standardized interface and are signed with a qualified electronic signature or with an electronic seal. The integrated XML file ensures completely digital business transactions. CBFS considers the......

relevant regions
Hong Kong, Hong Kong

Chekk for Business

Full data set All the information you need to meet your standards and regulators’ requirements. Data is transferred according to your desired format and matches your storage systems and databases. API ecosystem Chekk transfers the information directly to your company’s operating systems, through APIs that can be tailored to your own underlying logic. Verified......

relevant regions
Geneva, Switzerland

CIM

CIM helps the banks and financial institutions in the areas of compliance (design, implement and monitor compliance processes), central register (structured and managed processes, follow up on open issues), and data protection (protect client confidential data, reduce operational risks)....

relevant regions
London, United Kingdom

Classify

The Classify solution delivers a fast and fully tailored review process for recorded interactions, powered by the most sophisticated artificial intelligence ever developed for this application. By segmenting audio into relevant themes based on natural customer-interviewer dialogue, Classify lets you quickly analyse the precise sections that are relevant to particular......

relevant regions
London, United Kingdom

ClauseMatch

Policy management workflow Edit, comment, approve and publish internal compliance and risk documentation. State of compliance Automated mapping of regulations to policies and controls in order to understand your state of compliance. Audit trail & readiness Capturing collaboration and all decisions made to ensure history is preserved and accessible to be ready for audit in......

relevant regions
London, United Kingdom

Client Activity Review

Risk-based client review made easy A customer-centric view of a client - fully automated. Integrate, automate and deploy AI Machine learning and advanced analytics for automatic pattern identification and risk assessment. Process automation and monitoring through workflow and case management. Real-time searching over billions of transactions and data-points. Easy integration with your existing......

relevant regions
Baar, Switzerland

Client Due Diligence Hub ("CDD Hub")

CDD Hub is a web application that is used by clients, relationship managers & compliance staff to collaborate on onboarding & compliance related matters. It also provides an API & event based integration manager, which makes it easy for other systems to integrate with....

relevant regions
London, United Kingdom

Client On-boarding

Why choose Client On-boarding? Streamline your client lifecycle management processes using our Client On-boarding solution, combining functionality with best-practice know your customer (KYC) policy definitions and client data models. Customized to your specific needs, we provide robust tools for centralizing client data, defining rules, processes, and forms. Our solution covers multiple jurisdictions, business units,......

relevant regions
Abingdon, United Kingdom

Client Suitability and Appropriateness Checks

Suitability and appropriateness, as applicable, has to be assessed against a clients’ investment knowledge, their experience, their financial status and their investment objectives. In order to be compliant, investment firms have to obtain the necessary information from clients based on their classification, the service they want to receive and the......

relevant regions
London, United Kingdom

CME Regulatory Reporting Platform

CME Regulatory Reporting helps reporting counterparties to: Comply with evolving regulatory reporting requirements Ensure full compliance with the latest regulatory rules and changes. Optimise resources Outsource to an expert. Reduce the amount of time and human resources dedicated to complex reporting tools. Enhance control of reporting process Monitor, identify and correct discrepancies within reporting workflows. Stay protected Receive......

relevant regions
London, United Kingdom

Cognitiv+ RegBox

Use the RegBox to track relevant legislation, assess the impact of regulatory changes on your company, create and change internal policies, monitor audit trails and much more.  A powerful machine learning regtech solution for compliance and risk assessment.  Stay abreast of regulatory changes Track laws and regulation in your jurisdiction and sector, and......

relevant regions
Zurich, Switzerland

Communication surveillance suite

Spitch’s audio surveillance suite delivers cost-effective regulatory compliance (MiFID II, etc.) and additional security by seamlessly monitoring external customer & internal staff calls 24/7. Essential features include: call transcription for easy analytics, biometric identification of parties in the call, quick and easy extraction of information for regulators and security, and many more. The multi-lingual, multi-dialect......

relevant regions
Caerphilly, United Kingdom

Company data API

Company data API to power your business: Access the Creditsafe database directly within your systems Creditsafe Connect API Access millions of person and company details to build powerful features and products. Use any of our commercial APIs for seamless onboarding flows, customer profile generation, credit risk scoring, or anything else that strikes......

relevant regions
Denver, CO, United States

Complect

Complect is an online marketplace that allows financial services firms to hire experienced financial regulatory compliance specialists on demand for one-off projects and full-time roles. Regulatory compliance is an unavoidable aspect of the financial services industry. The regulatory environment is constantly changing and compliance issues are more numerous and complicated than......

relevant regions
Omaha, NE, United States

Compliance

Comprehensive in-house compliance suite Consolidate your tech stack Simplify your tech stack with a compliance suite that fully integrates with your portfolio management technology. Eliminate outsourcing costs Gain more compliance capabilities with a core set of solutions included in the Orion platform at no extra charge. Reduce the risk of data breaches Report on compliance data......

relevant regions
San Francisco, CA, United States

Compliance.ai

Monitor Save time and reduce all the noise and chatter with an automated, real-time, personalized stream of the latest regulatory content from thousands of sources across jurisdictions, documents types, and industry publications. Analyze Instantly identify what’s relevant, evaluate impact, see enforcement action trends, and prioritize tasks with key document attributes automatically extracted and AI-powered summaries. Take action Rapidly......

relevant regions
Auburn, CA, United States

Compliance Cloud

Find compliance issues before they become problems. Compliance Cloud enables registered investment advisors and broker-dealers to sift through their data and automatically spot compliance issues — allowing them to spend less time finding problems and more time solving them. Get proactive before the regulators do. Eliminate the need to spot check with big-data......

relevant regions

ComplianceHero

Designed to get compliance out of your way Set-it-and-forget-it Runs quietly in the background of your firm. Adapts to your business By integrating with all your existing tools. Including your CRM. Saves you time and focus Automating the boring stuff so you can get back to growing your business. Bank level security Your data and connection are secured and encrypted......

Fareham, United Kingdom

Compliance Hub

Simply Office 365's Compliance Hub helps you to improve the engagement, control and oversight of your compliance obligations, enabling you to implement a robust compliance framework to meet all your regulatory requirements. Designed specifically for Office 365 Microsoft's Office 365 cloud service is a powerful business platform that delivers integrated services ideally suited to embedding, controlling......

relevant regions
White Plains, NY, United States

ComplianceIQ

Make your investment policy statement monitoring process and regulatory compliance easier and more efficient with ComplianceIQ. This scalable monitoring solution allows you to manage workflow with minimal resource demands, including the ability to create an audit trail with active portfolio monitoring, on-the-fly scenario analysis and activity logs that record all......

relevant regions
Buffalo, NY, United States

Compliance Manager

Advisor management software for the financial services industry. Everything you need to manage your advisors anytime, anywhere. Business review/processing Tailored to you Consolidated and organized Quick and efficient ...

relevant regions
Lakeville, CT, United States

ComplianceMAX

ComplianceMAXTM is a technology platform composed of fully-integrated modules that brings convenience, confidence and cost savings to your compliance program. ComplianceMAX technology is relied on by over 200,000 users and is backed by the depth and breadth of NRS's compliance expertise. No matter what the challenge, ComplianceMAX helps integrate compliance into your......

relevant regions
Birmingham, United Kingdom

Compliance Monitoring & Reporting

Underpinning the IMVS Solution is a database containing a vast amount of data relating to all aspects of your firm’s wealth management activities. This module is designed to facilitate the analysis of this data to ensure that you are managing your client’s investments with up to date information on the......

relevant regions
Schaan, Liechtenstein

Compliance platform for financial intermediaries

The digital compliance platform is tailored to the daily work of financial intermediaries. With this platform it is possible to manage clients and related compliance processes completely digital based on a compliant, technologically state-of-the-art & cost-sensitive approach. Whether you plan to incorporate a new legal entity for your clients, to......

relevant regions
London, United Kingdom

Compliance Reporting and Monitoring

These are examples of Check6 compliance and monitoring reports: Transaction monitoring Transactions executed are checked against independent market prices combined with the agreed fee schedule. Incorrect trade execution is detected and reported. Check on tax withheld on distributions; based on specific tax circumstance of a client. The expected withholding is set against......

relevant regions
Immenstaad, Germany

Compliance Suite

Regulatory compliance comprises a whole range of topics that need to be managed according to the risk based approach: Anti-Money Laundering, Prevention of Market Abuse, Know-Your-Customer, Sanctions Lists Screening, and Embargo Monitoring. To make use of integrated compliance management, it is mandatory to cross-link these areas and to implement the risk-based......

relevant regions
London, United Kingdom

Compliance Training

Regulations always change and continuous training is an essential part of every organisation to reduce risk and to meet regulatory requirements. As part of its Compliance Training program, Lawson Conner Academy offers the following services: Computer-based training using the latest software and content: This gives individuals the flexibility to complete their training......

relevant regions
New York, NY, United States

ComplySci Platform

What sets us apart from other compliance solutions? The Risk Data Engine™: the key to compliance program effectiveness. Our proprietary Risk Data Engine™ sets the standard for Strategic Compliance Management by aggregating, enriching and normalizing vast quantities of data across a broad spectrum of sources. It creates a single, highly accurate and coherent repository of all......

relevant regions
London, United Kingdom

ComplyTracker

The system represents a complete compliance infrastructure which enables firms to efficiently manage their compliance documentation, complete compliance monitoring tests and track outstanding reviews. The ComplyTracker solution incorporates a firm’s compliance monitoring programme, policies and registers and creates a central access point for the Compliance Officer and other designated staff to......

relevant regions
Zug, Switzerland

Confinale Group Request Solution (CGRS)

In cooperation with banks, Confinale has developed the Confinale Group Request Solution (CGRS). Since the ratification of the Additional Protocol to the Double Taxation Treaty between Switzerland and the USA on 20 September 2019, the IRS has the right to request administrative assistance in the form of group requests. If the......

relevant regions
New York, NY, United States

Consensus Regulatory Management System

Consensus Regulatory Management System is an award-winning platform used by investment managers for a repeatable, reliable, and automated filing process. Reporting simplified Single solution – Access one platform to complete your periodic reporting obligations Streamline compliance – Standardize your reporting workflow with our repeatable and reliable process Unified data model – Use a single data set across......

relevant regions
New York, NY, United States

Consensus RMS

An increasingly complex global regulatory environment requires an elegant solution for regulatory reporting. Consensus Regulatory Management System is an award winning platform used by investment managers for a repeatable, reliable and automated filing process. Our experience with firms of all sizes and our expertise ensures that clients have access to a deep......

relevant regions
Fareham, United Kingdom

Consultant Hub

Our Consultant Hub is specifically designed around the needs of firms that provide compliance services to regulated financial service companies. It is also equally applicable to any consultancy practice that wants to improve its internal processes and service delivery. The Consultant Hub enables key consultancy services to be centrally tracked and managed whilst......

relevant regions
London, United Kingdom

Control Framework

A full governance framework and suite of policy and guidelines documentation. Addresses control and governance issues identified in FCA fines for reporting. Tailored to your business’s internal arrangements and reporting policies. Designed by our CEO Dario Crispini, the former head of the FCA’s Transaction Monitoring Unit....

relevant regions
West Chester, PA, United States

ControlOps

ControlOps is an auditor approved key application that eliminates the need for paper backup and manual checklists, establishes clear responsibilities and authority, and enables efficient operational control and oversight in all areas of the investment management operation. This application can support multiple audit and regulatory processes including: Dodd-Frank, SSAE18, Sarbanes-Oxley, Know Your Client,......

relevant regions
London, United Kingdom

Cortex

Inaccurate data  and time consuming tracking of research brought about by MiFID II is not only impacting revenue-generation but is also exposing asset managers to inducement risks. Increased pressures on the bottom line mean now is the time to ensure that your decisions are based on centralised, independent data. Cortex uses the very latest machine learning technology......

relevant regions
Geneva, Switzerland

Country Manuals

BRP Country Manuals provide financial institutions with the necessary skills, knowledge and know-how for the advancement/undertaking of their cross-border activities. They also allow for optimal management of risks, in particular focus on the regulatory risks, related to cross-border activities. Taking into account the needs of financial institutions that are active......

relevant regions
Greater Montreal, QC, Canada

Croesus iBalance

Access user-friendly software that manages the inherent complexity behind managing compliant, tailored, and tax-efficient portfolios. Croesus iBalance combines rebalancing with real-time compliance management for private wealth and institutional firms as well as pooled funds. Increase your productivity with automation Ensure portfolio compliance with no extra effort Easily manage models and submodels Synchronize orders, eliminating......

relevant regions
Greater Montreal, QC, Canada

Croesus Risk and Compliance Manager

The Croesus Risk and Compliance Manager can help you keep up with all of these new  requirements to reduce the fees and workload associated with regulatory compliance. By efficiently pinpointing areas of risk you can provide clients with a more robust, comprehensive investment strategy that takes into account risk scenarios.......

relevant regions
Immenstaad, Germany

Cross-Border Suitability

Current regulatory requirements for investor protection (e.g. MiFID2, MiFIR, PRIIP, OGAW or FIDLEG) pose special challenges, in particular for banks with significant volumes of international business. Depending on the context, banks have to arrive at clear and traceable answers to the question of whether client advisors are allowed to offer......

relevant regions
Bern, Switzerland

Crypto AML Compliance

Your benefits with Crypto AML Compliance Various technical components and services help you meet your due diligence obligations. Modern data analysis tools Risk-relevant information is taken from the blockchain and compared with pertinent databases. Needs-based services Depending on your requirements, you can access an automatic risk analysis, automatic report or due diligence assessment by experts. Connection......

relevant regions
London, United Kingdom

Cryptocurrency AML Compliance

New standards for cryptocurrency compliance In today’s highly digitized world, financial institutions are seeking ways to manage increased exposure to cryptocurrency risks. For financial institutions facilitating transactions involving cryptocurrencies, being able to confidently assess source and destination of funds is critical. The significant growth in cryptocurrency transactions has made fraud difficult to......

relevant regions
London, United Kingdom

Cryptocurrency Forensics

Hidden criminal activity from the dark web and beyond As the world has become increasingly digitized, economic crime and the trade in illicit goods have shifted online Use of the dark web is increasing 50% year-on-year, and cryptocurrencies have become the primary means of exchange. The rise of cryptocurrencies has brought all the......

relevant regions
London, United Kingdom

Cryptocurrency Investigation Services

Meet our expert cryptocurrency investigators Our team of experienced researchers and analysts deliver real-world results. Elliptic’s researchers and analysts add an additional layer to our commercial software, providing custom analyses that make use of our extensive and unique experience in conducting forensic cryptocurrency investigations. We provide written, detailed reports on the investigations......

relevant regions
London, United Kingdom

CUBE

Knowing about regulatory change is one thing. Having the regulatory intelligence and analytical capabilities to understand the impact of regulatory change on your business is a very different matter. It may take days or even weeks to re-evaluate your compliance status and remediate non-compliant gaps, especially when you are a......

relevant regions
Alpharetta, GA, United States

Customer and Vendor Risk Assessment

Customer risk assessment and vendor risk assessment are challenging. If you don’t truly know your customers and partners, the costs can be high. Regulations require you to conduct due diligence that may be shaped by geography, context or both. Failure to maintain compliance protocols can lead to enforcement actions. Increasingly, organizations......

relevant regions
Alpharetta, GA, United States

Customer Identification Program

Competition for customers is fierce. Your customer identification processes need to be quick and painless, or you lose out. At the same time, you need to be diligent about ID verification. If you don’t have a robust customer identification program in place, you’ll not only let risk in the door—but......

relevant regions
Abingdon, United Kingdom

Customer Onboarding

NorthRow simplifies and improves the customer onboarding process by taking the pain out of regulatory background checks. Our platform makes the process faster because our customers have access to all the datasets they need in one place. Data is only inputted once via onboarding workflow forms which can then be automatically populated.......

relevant regions
London, United Kingdom

CyCheck

Challenges: Continuously evolving cyber threats Increased regulatory demands Unattended vulnerabilities from third party plugins cause data breaches Irregular security testing within organisations Expensive and labour-intensive manual pen-testing Key capabilities: Innovative scanning technology by leading penetration testing experts Automates the detection of security flaws within your websites, applications, network and cloud infrastructure Tests complex online applications Offers unparalleled accuracy and detection......

relevant regions
London, United Kingdom

CyDesk

CyDesk helps enterprises keep pace with digital transformation and enables a proactive approach to cyber security and compliance. The solution focuses on the identification, analysis and management of digital risks within third-party ecosystems. CyDesk equips information security teams with the ability to aggregate both internal and external sources of data, then......

relevant regions
San Francisco, CA, United States

Datameer for Financial Services

Understand your customers better Analyzing customer interaction data from various sources such as transactions, CRM and the website helps financial services companies truly understand the customer’s journey. With big data analytics, you can answer questions like which campaigns convert prospects to customers, how to get customers to use products more and......

relevant regions
Fareham, United Kingdom

Data Privacy Hub

Data privacy and GDPR compliance The Data Privacy Hub is designed to help you manage your organisation's personal information in accordance with the General Data Protection Regulation (GDPR) and with other information privacy regulations. The Data Privacy Hub enables firms to capture, describe and control the privacy information they manage and process. It provides a robust and proven governance......

relevant regions
London, United Kingdom

Data Protection Suite

Encryption for organisations of any size Simplifying technology and compliance to industry standards, including GDPR Proof of compliance in the event of a breach Scalable to the requirements of small businesses, enterprise and government Access control for removable devices and media Prevention of unauthorised access or use of external devices Centrally managed audit trails for all connection events Monitor......

relevant regions
Singapore, Singapore

Dathena Classify

Dathena Classify quickly, accurately and intelligently classifies your data by business category and by level of confidentiality. With industry leading "out-of-the-box" accuracy, the powerful Dathena 99 A.I. core engine quickly learns any organization’s unique documentation patterns & classification requirements, reaching 99% accuracy shortly after deployment. Features Live classification of data at rest or in motion Automatic......

relevant regions
Singapore, Singapore

Dathena Discovery

You can’t protect what you don’t know. Start your data protection journey right with Dathena Discovery and immediately gain full insight into what kind of files you store across your entire organisation, where they are located and who has access to them. Features Map & monitor all your data files Identify your business critical......

relevant regions
Singapore, Singapore

Dathena Privacy

Dathena Privacy scans all your files to automatically and accurately detect and map all personal data (or PII) they may contain. Dathena Privacy then builds a comprehensive library of all the personal data information you store and provides you with a user-friendly, interactive visualization of where they are and who has access to them. Features Identify......

relevant regions
Bristol, United Kingdom

DCI - Data Analyst

This is particularly critical for wealth managers who have a robustly enforced regulatory obligation to do so and where poor or missing data not only has the potential to cause reputational damage but may also lead to financial loss and even regulatory sanctions. The regulatory demand on investment firms is relentless.......

relevant regions
New York, NY, United States

DDIQ

Programed by expert technologists and taught by Exiger’s financial crime compliance professionals, DDIQ uses AI to read, understand, and analyze content with the same approach and cognitive reasoning as a human…without the constraints. Whether a single investigation target or millions of monitored transactions, DDIQ rapidly executes hundred of searches and analyzes thousands......

relevant regions
Hamburg, Germany

DEVICE IDENT

DEVICE IDENT identifies customers’ devices through their unique characteristics and analyses them independently of their personal data. Using intelligent rule systems, DEVICE IDENT ensures that fraud correlations can be identified consistently. Push email and API access allows for the individual assessment of the device information in real time. DEVICE IDENT is......

relevant regions
Abingdon, United Kingdom

Digital Client Passport

This breadth of data enables NorthRow to provide real-time intelligence via an easily integrated, single API. It also helps to address the complexity of onboarding and monitoring customers and creates a dynamic digital passport on any counterparty, encompassing all components of Know Your Customer (KYC) and Anti Money Laundering (AML)......

relevant regions
Gryta 2B, 7010 Trondheim, Norway

Digital identity hub

...

relevant regions
Trondheim, Norway

Digital identity hub

Verification and authentication solutions Signicat’s Digital Identity Hub is central to our overall offering. It is a platform layer that collects numerous connection points, ensuring that our customers are able to connect to and verify their customers online. By connecting to the Hub through a single API, customers are able to access......

relevant regions
Sunnyvale, CA, United States

Digital Risk Protection

Stop digital phishing attacks Are you safeguarding your digital presence against the security risks? Cybercriminals go anywhere there’s a potential financial gain, and financial service firms are a top target. Threat actors create lookalike social accounts, mobile apps, and domains that trick your customers with phishing attacks to steal credentials and deliver......

London, United Kingdom

Digital Transformation & Cloud Data Privacy

As enterprises evolve to become data-driven organizations, they are transitioning from simply collecting and storing data to democratizing data use to drive better decision making organization-wide. With the realization that some of their most valuable data includes sensitive personal information, data leaders know this is only possible with a scalable......

relevant regions
London, United Kingdom

Discovery Platform

Become an AIFM investment manager with your own offshore fund structure at a fraction of the typical fund launch cost in only four week ‘Discovery’ is a unique platform which allows clients to become an AIFM investment manager with their own offshore fund structure. Through Discovery, you can launch your own dedicated......

relevant regions
London, United Kingdom

Document Check

Onboard at scale By complementing automation with manual uplift, we free up your team to focus on what they’re good at. This hybrid approach minimises the size of your onboarding team and maximises your customer conversion. Delightful identity verification The days of scanning and emailing passports are gone. Our meticulously designed verification flow......

relevant regions
Lake Success, NY, United States

DOL Compliance

Communicate and comply with the DOL Fiduciary Rule. Validate investment recommendations, communicate with your investors and comply with new compensation structures using our suite of DOL solutions....

relevant regions
San Jose, CA, United States

Dtex Intercept

Key features of Dtex intercept next-generation insider threat platform First platform that scales to protect millions of endpoints concurrently Unlike other solutions that are restrained to only analyzing people of interest (POI) or devices of interest, Dtex Intercept was purpose-built to scale and protect the entire organization, up to millions of users/......

relevant regions
St Petersburg, FL, United States

Dynasty Compliance

Dynasty Compliance will provide the legal and compliance support for an RIA – from the set-up of a new RIA to the training of a designated CCO. We’ll give you the compliance guidance and ongoing support to enable you to successfully operate in conformance with regulatory requirements. Breakaway & RIA registration......

relevant regions
Beaverton, OR, United States

EAI Compliance Module

The key to effective, affordable compliance is an efficient workflow that cuts manual, time-consuming paperwork and associated errors down to size. That’s what EAI’s compliance solution offers.With EAI Compliance, your data is recorded quickly, accurately and securely, transaction after transaction....

relevant regions
Amsterdam, Netherlands

EasyTax

Given the growing pressure on your clients to be tax transparent in their home countries, you need to meet their increasing demands for fiscal reports. This allows clients to easily file their tax returns with the relevant information on income from interest and dividends and capital gains on wealth. While......

relevant regions
London, United Kingdom

EDB — The Enforcement Database

Enforcement cases are analysed and interpreted by in house legal and compliance experts, with direct enforcement experience. Staff in risk, compliance and legal functions will save time in their analysis of enforcement activity and be able to quickly embed the regulatory lessons contained in them into their own firm thereby......

relevant regions
Sunnyvale, CA, United States

e-discovery and Analytics

E-discovery is unpredictable in the face of today’s data growth. With new content types to support and ever-evolving court decisions, you need a defensible approach to your collection, discovery and review strategy. Proofpoint’s e-discovery and Analytics capabilities provide greater insight for your litigation readiness strategy. That means more control with less cost and......

Mountain View, CA, United States

Egnyte Platform

Content services without compromise Data has never been more valuable, but it has also never carried more risk. In today’s environment, your content architecture needs to maximize both security and productivity at the same time. You can’t trade-off one at the expense of the other. Powered by the industry’s most advanced content......

relevant regions
Gryta 2B, 7010 Trondheim, Norway

Electronic Signatures

...

relevant regions
Trondheim, Norway

Electronic Signatures

An advanced electronic signing solution for the modern age Electronic signatures allow customers to make a legally-binding agreement online. These signed documents can then subsequently be delivered to the correct parties quickly and efficiently. This process minimizes the need for paper documentation, ensures greater levels of transparency and traceability, and leads to......

relevant regions
London, United Kingdom

Elliptic Discovery

Take a risk-based approach to crypto-assets Purpose-built for banks, Elliptic Discovery provides compliance teams with the insights they need to identify flows of funds into and out of crypto-assets, and assess the risk that they pose. Detailed profiles of over two hundred global crypto exchanges enable banks to manage risk, pursue new......

relevant regions
Glasgow, United Kingdom

encompass confirm

encompass confirm aggregates data from the world’s leading information providers. We then automate workflow in-line with your internal KYC policies to significantly enhance the way you research, onboard and review prospects and customers. encompass confirm reduces the time, cost and risk involved in due diligence activities, while enabling you to better demonstrate value to customers and......

relevant regions
London, United Kingdom

EnOC SM&CR

As of the 9th of December 2019, UK firms are required to adopt the Senior Managers and Certification Regime (SM&CR) introduced by the FCA. The Regime aims to increase individual responsibility and improve clarity of responsibilities within firms, which will not only improve how firms are governed, but will also......

relevant regions
Sunnyvale, CA, United States

Enterprise Archive

Legal and compliance pressures are evolving in the face of today’s data growth. That’s why you need a new approach to your archiving challenges. Enterprise Archive is a proven, next-generation archive solution that leverages cloud intelligence for deep insight into your data to reduce cost, complexity and risk. Simplify e-discovery Meet your......

Petah Tikva, Israel

Enterprise Number Archiver

Capture and archive Mobile SMS/MMS/calls App on iOS or Android phone associated with a local enterprise number allocated to employee (and App) Easy to use App similar to consumer messaging/calling apps Archive only work-related SMS/MMS/Calls and not personal ones ...

relevant regions
Iowa, United States

Enterprise Risk Management

Scalable ERM risk assessments Coordinate with risk owners in a streamlined, intuitive ERM process. With Workiva, you can simplify tracking and managing assessment feedback in real time, enabling a stronger ERM program. Collect and assess risk data Simplify tracking and manage assessment feedback in real time, enabling a stronger ERM program. Optimise the capture......

relevant regions
Doncaster, United Kingdom

enVisual 360 CRM

Designed for medium to large size firms, enVisual 360 CRM can be licensed as a single module or as part of the fully integrated enVisual Trust and Company administration system. enVisual 360 validates and manages your compliance data from within your CRM....

relevant regions
Renton, WA, United States

Erado

Social media archiving LinkedIn, Facebook, Twitter, Google+, Pinterest, Instagram, Yammer, Chatter, WorkFront Instant message archiving Bloomberg, Erado IM, Skype for Business (formerly Microsoft Lync), IceChat, Yahoo, AIM, ICQ, Jabber, Cisco Unified Presence, IBM Sametime Website & blog archiving Websites, Blogs, RSS Feeds Email security platform Policy-based encryption, smart delivery, universal compatibility, automated encryption, audit trail, integrated archiving Email......

relevant regions
London, United Kingdom

ERIC

– Simple, intuitive solution to document and manage your risks, controls, compliance monitoring and reporting – Digitalise and streamline your risk and compliance processes – Bespoke and standard risk and compliance dashboard and reporting at a touch of a button – Global cloud secure platform with full SME support – Option to deploy locally......

relevant regions
Kehlen, Luxembourg

e-Signature

Do you want to offer e-signature possibility to your clients? We advise you on the optimal solution for your business from total integration into your infrastructure, API calls to simple e-signature services. Depending on your business requirements we offer the signature, validation, preservation services and audit trailing needed to be......

relevant regions
Zurich, Switzerland

Etops for Asset Managers

Etops for asset managers Managers, regulators and clients have a growing need for comprehensive and timely reports. This requires accurate and current data provided to and optimized for your investment management system. Etops AI powered technology together with the experienced back office team represents the ideal combination of engineering and services to master the challenges the......

relevant regions
New York, NY, United States

EU GDPR

Compliance simplified The adoption by the European Parliament of the General Data Protection Regulation (GDPR) has profound repercussions for digital privacy on both sides of the Atlantic. Any sustainable approach to meeting EU GDPR requirements involves aligning compliance mandates with clearly defined policies and consistent technical processes. BigID provides the centralized view into......

relevant regions
Horsham, United Kingdom

Evolution Wealth

Evolution Wealth provides complete support for high-quality financial advisers and wealth managers. We offer a centralised integrated solution encompassing technology, regulatory and investment support. We understand that every financial planning company is different so we collaborate with you to formulate and build the infrastructure that works best for your clients......

relevant regions
London, United Kingdom

eXate

What we do eXate protect data on an attribute by attribute basis, allowing for the separation of application security from data security. Unique in that the solution has been designed for micro data and global complex organisations with imperfect data, eXate provides data access controls to ensure that sensitive data attributes (such as names, addresses......

relevant regions
Arlington, TX, United States

ExecView

ExecView is a web-based software designed to meet financial firms’ surveillance needs in the context of increasing regulatory scrutiny. Powered by First Rate’s proven performance calculation engine, it takes your review process from due diligence uncertainty to performance data clarity in a few clicks. A surveillance tool to automate oversight and......

relevant regions
London, United Kingdom

Face Verifier

Face Verifier is a one-time face biometric verification experience that securely and simply authenticates users for online and offline services, offering a secondary factor or replacing passwords. Face Verifier’s patented Flashmark technology uses controlled illumination to detect and mitigate against presentation attacks, including highly sophisticated replicas and replays. Our matching engine, DELFINA,......

relevant regions
London, United Kingdom

Facial Check

Prevent identity fraud Our Facial Check uses advanced computer vision techniques to deliver robust and reliable fraud detection. Our market-leading liveness feature eliminates the risk of spoofing, keeping identity fraudsters out. Delightful identity verification The days of scanning and emailing passports are gone. Our meticulously designed verification flow fits neatly into your user......

relevant regions
Hoboken, NJ, United States

FATCA Compliance Solution

Your firm's FATCA compliance obligations to maintain and report on customers, individuals and businesses that may owe U.S. tax and the right technology is required to support the extensive data gathering and retention, document management, and process update requirements. Failure to comply could result in regulatory penalties and customer attrition. Feature-rich......

relevant regions
Guernsey, Guernsey

fb Tax Data Exchange

Flyingboat Tax Data Exchange is our standalone product for managing all aspects of procesing data and generating XML files required for tax filng under agreements such as US FATCA.  We also offer a bureau service for processing low volumes of data. ...

relevant regions
London, United Kingdom

FCA Authorisations

FCA authorisation Launch your business under the rules of the FCA. Lawson Conner can help you with direct FCA authorisation as well as Variation of Permission (VoP) applications. Direct FCA Applications (FCA, FINRA, SEC, CFTC, SFC) Should you want to become directly authorised by the FCA we will manage the entire registration process for......

relevant regions
Dublin, Ireland

Fenergo Regulatory Compliance Management

Solve all regulations on one platform Financial institutions are facing into a regulatory storm of epic proportions. The volume of new requirements, the challenge of managing regional variations and tight implementation timeframes, set against the backdrop of astronomical and reputation-damaging financial fines and penalties, is creating a pressure pot of regulatory......

relevant regions
Zug, Switzerland

FIDLEG

FIDLEG affects practically the entire value creation process of a bank. Most requirements require technical implementation. However, many requirements are still in flux and will not be finalised until the end of 2019. Nevertheless, the IT systems must already be set up as far as possible at this point in......

relevant regions
London, United Kingdom

Financial Crime & Conduct Risk

Financial regulators, law enforcement and banks struggle to detect ever more sophisticated criminal schemes in a more fast-paced world. More data is being generated leaving traces of activity, but current methods for filtering signal from noise are insufficient. Why choose between increasing the efficiency and increasing the effectiveness of your AML......

relevant regions
Geneva, Switzerland

Financial Crime Mitigation

Our Financial Crime product family is a range of intelligent, analytical detection engines that are accurate, fast, easy to configure, and simple to use. Its sophisticated approach ensures increased efficiency, by saving time and lowering data-mining costs for enhanced decision making and improved collaboration, ultimately completely mitigating against risk. You......

relevant regions
Venice, Italy

Finantix Client Acquisition

Lead generation and insight This module allows financial institutions to find prospective customers based on their similarity of target individual or entity personas, automatically scan for new prospects both on databases and news across many languages looking for money in motion. Client onboarding Expedite client account opening with tools that make data collection and......

relevant regions
Amsterdam, Netherlands

FiRE

With the increasing complexity and frequency of reports and the more stringent attitude of regulators, the need for automation increased. Right from the start, we worked with banking packages to develop a standard interface. This allowed banks changing their banking system to implement FiRE without too much effort. Every year, up to......

relevant regions
Kew, Australia

First Class Super

First Class Super offers a full suite of services, from establishment and on-going administration, right through to setting up retirement pensions and beyond. We work in partnership with accountants and financial planners in providing annual compliance requirements for self managed super funds. We offer an end of year service or the......

relevant regions
Amsterdam, Netherlands

FiTAX

Since 2001, BearingPoint continuously enhanced its FiTAX tax reporting solution. One of the main challenges faced by financial institutions is to stay up to date with the ever-changing reporting requirements imposed by the tax authorities (IRS, European Union...), which frequently request evolutions in electronic files and reports. Monitoring and implementing......

relevant regions
Chester, United Kingdom

Fraud Bureau

Fraud is an ever-growing issue which cost businesses $38 billion in 2015. Globally organisations are taking steps to mitigate fraud in their own business, but approach the problem in isolation. But fighting fraud is an issue which affects all organisations. And to achieve the best results, it’s an issue which......

relevant regions
Zurich, Switzerland

Fraudster detection

Prevention of identity fraud and identification of fraudsters by voice during a real-time contact centre conversation is also facilitated by Spitch solutions, which can check a caller’s voiceprint against a ‘black list’ of known fraudsters....

relevant regions
Hamburg, Germany

FRIDA

Our self-learning anti-fraud software FRIDA supports fraud managers by intelligently linking a wide range of input sources. Incoming transactions are automatically compared and evaluated, allowing fraudulent connections to be quickly detected. FRIDA not only analyses individual transactions but also immediately establishes relationships between transactions. Thanks to an intuitive user interface, your......

relevant regions
London, United Kingdom

Fundipedia

Asset management firms do not have a single centralised repository for all product related static information. Instead they rely on multiple teams updating and maintaining the data that is relevant to them in their own preferred formats. With an increase demand for data from regulators across the globe, and subsequently......

relevant regions
Chester, United Kingdom

GBG Connexus

GBG ID3global can verify the identity of almost anyone, anywhere in the world, at any time. Impressed? You will be. And so will your customers. Get onboarding right, and you’ll impress them from day one. But there’s so much more. In ever-growing international markets you can’t afford to have weak......

relevant regions
Chester, United Kingdom

GBG ID3global

GBG ID3global can verify the identity of almost anyone, anywhere in the world, at any time. Impressed? You will be. And so will your customers. Get onboarding right, and you’ll impress them from day one. But there’s so much more. In ever-growing international markets you can’t afford to have weak......

relevant regions
Chester, United Kingdom

GBG Instinct

New customers want account sign-up to be swift and straightforward. And your business needs to meet their expectations – and at the same time safeguard against application fraud and other financial crime. GBG Instinct intelligently compares the information provided during registration against rich layers of identity reference data - account......

relevant regions
Chester, United Kingdom

GBG Matchcode360

A customer’s profile has evolved into a multi-faceted entity. In order to communicate effectively, we need real insight into all aspects of a person’s identity – in both the online and offline worlds. Identity is at the heart of all customer relationships. Do the fragments of information you have about......

relevant regions
Chester, United Kingdom

GBG Predator

Fighting fraud is an ongoing process. Even the best customer accounts can be compromised by identity theft, your customers circumstances can easily change, or accounts be taken over. So it’s important to monitor your customers transactions to stay alert to behaviour which is consistent with fraud or new trends in......

relevant regions
Brisbane, Australia

GBST SuperStream Gateway

Our compliant messaging hub, GBST SuperStream Gateway, sends and receives superannuation documents to and from other SuperStream participants including other gateways, funds and employers. All messages are sent, received and stored for auditing purposes according to ATO standards to ensure complete compliance. This SuperStream certified product leverages our extensive network of......

relevant regions
Munich, Germany

G+D Mobile Security

Meeting strict AML regulation, anti-terror laws and the resulting KYC procedures is another. Secure Remote Identification by G+D Mobile Security helps you verify the identity of new customers during onboarding to provide secure and seamless identity journeys from day one. Turn the onboarding process into a great experience Today’s connected customers expect......

relevant regions
Campbell, CA, United States

GDPR Compliance

As of 25 May 2018, a new regulatory regime—the General Data Protection Regulation (GDPR)—is in effect in the European Union (EU). Complying with GDPR’s requirements poses challenges, but it is also an opportunity to evaluate all aspects of your security posture, and to ensure that any existing security gaps are......

relevant regions
London, United Kingdom

Glassbox for Wealth & Asset Managers

Wealth and asset managers require a secure, cutting edge, agile technology like Glassbox which enables the business to undertake qualitative analysis of how customers are using digital channels end-to end, highlights the problems they are experiencing, andprovides actionable insights into why customers behave the way they do, as well as......

relevant regions
Vancouver, BC, Canada

GlobalGateway

GlobalGateway is an online electronic identity verification (eIDV) service developed for the international market. Our product was created specifically to help businesses comply with Anti-Money Laundering (AML) and Know Your Customer (KYC) rules, and supports a diverse range of international electronic identity verification requirements. GlobalGateway is used by financial institutions, payments,......

relevant regions
Vancouver, Canada

Global Relay Archive

Global Relay Archive is a world-class compliance archiving and monitoring solution that seamlessly integrates with email and other electronic messaging systems — delivering superior message search, retrieval and review capabilities. This enterprise-class, cloud-based archiving solution addresses the demands of regulatory compliance, audits and eDiscovery while alleviating data management, storage, security,......

relevant regions
London, United Kingdom

Governance

In an increasingly complex investment landscape, the demands placed on firms to implement adequate controls and appropriate disclosures to monitor, manage and communicate the risks faced by their business are now greater than ever. StatPro’s governance solution offers the ability to monitor investment guidelines prescribed from any source to better......

relevant regions
San Jose, CA, United States

GRACE Automated AML monitoring

Monitoring financial crime is fundamental for the prevention of money laundering and international terrorism. GRACE AML automates client monitoring against worldwide sanctions to generate risk profiles. It meets customer due diligence rules, expectations of monitoring beneficial ownership in sanctioned entities, adverse media and identifies and reports suspicious transaction patterns. The GRACE platform......

relevant regions
San Jose, CA, United States

GRACE Compliance Management

Ensure that the organization is in compliance to all the regulatory requirements by keeping track of regulation, centrally administering policies and procedures to address the regulations, providing forms for the staff to report and take approvals for various activities including pre-trade requests, private placement requests, gifts, political contributions, their outside......

relevant regions
San Jose, CA, United States

GRACE Enterprise GRC

GRACE Enterprise GRC offers a simple way to implement enterprise wide governance, risk and compliance management process that includes setting up policies and procedures, managing attestations, conduct risk assessments, monitor compliance processes, set up and monitor internal controls, conduct audits, record and manage loss events, report and monitor KRIs, manage......

relevant regions
San Jose, CA, United States

GRACE for Branch and Registered Representative Monitoring

GRACE broker-dealer helps examine and audit multiple branches and registered representatives to their adherence to regulations, identify conflicts of interest, and any risks to their clients. It helps monitor outside activities of representatives from public information sources. Findings from examinations can identify risks across these and manage their mitigation The GRACE......

relevant regions
San Jose, CA, United States

GRACE for Training

The GRACE Training offers online training courses on various aspects of regulatory compliance like GDPR, California Consumer Privacy Act, PIPEDA, AML and other regulatory expectations, along with managing the training calendars, records of training, and managing effectiveness through the GRACE Training The GRACE platform is built on an industry-standard Oracle stack and......

relevant regions
Boston, MA, United States

GX Compliance

Compliance today is a regulatory maze, with higher costs, technology challenges and increased complexity. Turn to us to stay up to date on the latest regulatory changes relevant to you — across risk, collateral, and pre- and post-trade reporting. We manage the administration of regulatory, prospectus and internal investment guidelines, and......

relevant regions
San Francisco, CA, United States

Hearsay Compliance

Hearsay Cloud allows compliance and supervision teams to easily comply with complex regulatory requirements, adding channels and advisors without extra staff. In 2018, Hearsay customers experienced a 46% decrease in compliance alerts created at the same time as they increased automated content published by 52%. Capture, monitor and supervise across digital channels Hearsay......

relevant regions
London, United Kingdom

Heliocor

We are an award-winning Regtech company delivering solutions to the financial services industry and beyond. We help our clients cope with the ever-changing demands of regulation by providing solutions that meet all their compliance requirements. We produce software focused on regulatory compliance within the financial services sector, helping the sector address......

relevant regions
London, United Kingdom

HRComplySoft

Easy to use, install and configure to a firm’s precise requirements. HRComplySoft is fully automated, online and can be hosted on the client’s server or our own. Our three HRComplySoft modules: R-A-G benchmarking module Performance appraisal module CPD module ...

relevant regions
York, United Kingdom

IAR

Designed to be the industry benchmark, this platform gives financial institutions the control, visibility, and agility to manage accountability throughout the firm – and comply with the Senior Management Regime, Certification Regime and Conduct rules....

relevant regions
Armonk, NY, United States

IBM AML Monitoring and Analytics for Banking

IBM Multi Channel Fraud Analytics for Banking allows you to: Use advanced analytics and deep investigative analysis throughout the entire life-cycle of counter fraud operations Aggressively handle fraudulent activity Proactively anticipate, prevent and continuously adapt to threats and evolving schemes ...

relevant regions
Armonk, NY, United States

IBM Financial Crimes Due Diligence with Watson

IBM® Financial Crimes Due Diligence with Watson® leverages streamlined and accurate due diligence processes to provide complete Know Your Customer (KYC) compliance at every point and enables financial institutions to provide an improved customer experience – all powered by Watson. Financial Crimes Due Diligence pre-populates customer identity information and reduces......

relevant regions
Armonk, NY, United States

IBM Multi-Channel Fraud Analytics for Banking

Using the wide variety of advanced analytics and big data offered in IBM’s Counter Financial Crimes Management solution, banks can drastically deter, prevent and intercept fraud in all channels by improving detection processes, expanding the observation space within the institution and accelerating investigations in order to adhere to regulatory requirements....

relevant regions
Lucerne, Switzerland

id4.bank

id4.bank is a Swiss RegTech developing a full fledged client lifecycle management digital platform that helps our clients in complying with increased regulations. Our softwares are out of the shelf, ready to use, easily integrated: CLM4.bank for small & medium sized private banks CLM4.EAM for external asset managers CLM4.pension for vested benefit fondations ...

relevant regions
Gryta 2B, 7010 Trondheim, Norway
Trondheim, Norway

Identity Assurance as a Service (IDAaaS)

Identity assurance for regulated industries We deliver a comprehensive solution to enable online assurance for regulated businesses in Europe, compliant with your KYC and generic AML4 requirements. Our solution is efficient, effective, and secure. An enhanced solution Traditional verification has needed to be done in person—by presenting themselves at a branch, for example—or by......

relevant regions
San Francisco, CA, United States

Identity Management

Meet ForgeRock. We’re an identity and access management company. We secure digital identities for people, devices, and connected things online. We verify who you are and what you can access. Our unified digital identity platform powers new cloud, mobile, and IoT services, so you can build secure, trusted relationships with customers......

relevant regions
Caerphilly, United Kingdom

ID & KYC Checks

Create trusted relationships whilst ensuring regulatory compliance Having confidence in who you do business with is crucial, which is why we build over 300 data sources into our Know Your Customer (KYC) checks. Creditsafe ID enables you to operate with the knowledge that you are dealing with reputable individuals and adopting......

relevant regions
London, United Kingdom

ID Matcher

ID Matcher provides fast, simple and highly secure remote identity checks, verifying by way of a one-time face biometric that the user is who they claim to be, based on the image of a face sourced from an ID document or a centralised database. iProov’s world leading presentation attack detection technology,......

relevant regions
Munich, Germany

IDnow eSign

With IDnow eSign you can sign contracts with your customers online. Instead of requiring a handwritten signature, a qualified electronic signature (QES) is created. It has the same validity from a legal perspective. In just a few minutes, IDnow eSign enables contract conclusion without media disruption or additional hardware. All the......

relevant regions
Munich, Germany

IDnow Platform

The IDnow Platform is the only verification service you’ll need to on-board customers quickly and confidently. Meet the IDnow Platform Our platform has the capability and flexibility to meet all your KYC needs. Seamless user experience Our platform seamlessly integrates into your digital workflow across desktop, tablet and mobile to provide the very best......

relevant regions
Dublin, Ireland

ID-Pal

ID-Pal provides an efficient, streamlined KYC solution that allows you to onboard more clients whilst meeting regulatory requirements. ID-Pal’s web portal (for the business) and app (for the customer) create a simple and effective system for capturing, verifying and storing customer identity documents and information. Customer onboarding. Made easy. ID-Pal’s business portal and customer app create a simple and effective system......

relevant regions
London, United Kingdom

ID Record Check

Onboard more users Our multi-bureau approach and intelligent address lookup maximises your customer conversion. Delightful identity verification The days of scanning and emailing passports are gone. Our meticulously designed verification flow fits neatly into your user journey and takes less than 60 seconds. Just plug and play Our SDKs provide a quick and easy way......

relevant regions
Chester, United Kingdom

IDscan

“Fake? Forged? Altered? Do you know? IDscan does.” Put simply, IDscan takes a snapshot of ID documentation and checks it’s authenticity. Within seconds. But the advanced technology behind it is complex. It reads, extracts and authenticates a multitude of documents - including passports, visas, ID cards, driving licences and work......

relevant regions
Sydney, NSW, Australia

Implemented Portfolios

A modern investment service that specialises in helping advisers deliver a scalable, consistent, yet individualised client experience, in partnership with industry leading technology & investment partners Our service is designed to reduce the complexity and costs associated with delivering traditional investment management to clients. Traditionally advice practices have delivered their investment management......

relevant regions
Geneva, Switzerland

inApp

inApp makes cross-border seamless Managing complex situations at your fingertips Through its unique rule processing, inApp is solving complex situations as easily as simple cases. Anywhere, anytime inApp is available from the cloud (indigita Swiss-based cloud or client internal cloud) on any device (phone, tablet, computer)....

relevant regions
San Francisco, CA, United States

InCountry Profile

Every country has unique laws regulating how profile, payments, transaction, health and employee data are stored and handled. InCountry has the expertise to help you navigate them with ease using local, secure storage. InCountry’s managed service provider offering. Rest assured with dedicated and secure infrastructure in every country you operate. Compliant Store user......

relevant regions
Geneva, Switzerland

indigita API

The indigita API allows external systems and services to have standardized access to all indigita inData and inRules. The indigita API is able to digest specific contextual information and return the appropriate regulatory answer based on country manuals. ...

relevant regions
Geneva, Switzerland

inLearning

With inLearning, we are providing pedagogical digital solutions, covering self-learning material and questionnaires. The solution allows clients to train their personnel and ensure that they are fit to operate with specific countries. The content is based on digitized country manuals from BRP and can be customized to reflect the bank’s specific......

relevant regions
Paris, France

Innova Compliance

Fortia has built a key solution focused on the fund’s industry needs allowing custodians, fund and asset managers to stay compliant using evolutive technologies. Fortia is addressing the most specific investment compliance needs related to funds across multiple jurisdictions. Innova Compliance provides an end to end solution covering fund and product life cycle......

relevant regions
Alpharetta, GA, United States

InstantID

LexisNexis InstantID delivers instant identity verification to drive smarter decisions and keep customer acquisition in focus. Speed identity verification while defending against risk LexisNexis InstantID provides robust identity coverage that helps increase verification rates and support informed decisions to help your business: Accelerate customer acquisition Strengthen compliance Mitigate risk exposure Minimize exceptions and discrepancies Reduce operating costs By harnessing the power of......

relevant regions
Broomfield, CO, United States

Intelligent Contracts

Draft it. Negotiate it. Sign it. Nail it. Contracts are a crucial component of every business. That’s something everyone can agree on. But they can also slow you down because they’re often complicated, time consuming, hard to finalize, and even harder to track. With our intelligent contracts solution, it’s easier than ever to......

relevant regions
Sunnyvale, CA, United States

Intelligent Supervision

  Financial services firms face some of the world’s most stringent and complex regulations. Proofpoint Intelligent Supervision helps streamline compliance. It’s fully integrated with Enterprise Archive for easy capture, review and reporting. That means complete visibility across your email, instant messages, collaboration tools and social media. Smarter review Your reviewers don’t need to work harder;......

New, United States

Intelligo for banks

Intelligo Clarity provides wide data coverage to improve the accuracy of background checks and offer timely and intelligible results, so investors can make informed decisions exactly when they need to. Our proprietary technology sifts through millions of records, analyzing disparate data points and determining patterns, to produce comprehensive reports that are......

relevant regions
New, United States

Intelligo for investment funds

For the first time you can conduct due diligence with the speed and ease of automated database checks, and the quality, comprehensiveness, and analysis of an experienced human analyst. Clarity is a dynamic and configurable system, which can instantly be set up to meet any client’s compliance or due diligence needs. Clarity......

relevant regions
Munich, Germany

International Data Privacy Baseline

Alyne provides guidance and controls for building and maintaining a mature and compliant privacy organisation and enables you to easily assess and benchmark maturity. The Alyne library covers key privacy legislation such as legal requirements in the EU, Germany, UK, Finland and Australia and includes topics such as breach notification......

relevant regions
Milwaukee, WI, United States

Investment Advisor Express

In today’s rapidly changing industry, the need for your investment advisors to stay current with rules and regulation is paramount. This is especially true as the SEC vamps up its examination efforts. With Investment Advisor Express, we give you a subscription-based compliance management system that equips you with the technology, support, and training......

relevant regions
New York, NY, United States

Investment Governance Service

Moody’s Analytics Investment Governance Service helps product providers and distributors meet compliance requirements for assessing suitability by aligning investment solutions with clearly defined risk targets....

relevant regions
London, United Kingdom

Investor OnBoarding

Investor OnBoarding provides investment firms the ability to digitally manage the client onboarding processes, addressing their clients’ regulatory and risk requirements, resulting in optimized client services offered, increased operational efficiency, unified client information as well as their risk profile. Key features: Contact information (KYC, CIP) Appropriateness questionnaire Investment suitability assessment Client risk profiling &......

relevant regions
Schaan, Liechtenstein

Investor onboarding for ICO & STO

Cryptoz Liechtenstein offers a compliant end-to-end digital client onboarding solution which provides a compliant, technologically state-of-the-art & cost-sensitive approach to client onboarding during an ICO or STO. The platform is completely digital and its services cover all aspects from Know-Your-Customer (KYC) and Anti-Money-Laundering (AML) required for onboarding investors. The solution is based......

relevant regions
Singapore, Singapore

Iris

IRIS is the simple, cost-effective one-stop automation of a complex regulatory requirement on Balanced Scorecard (BSC) Framework for the remuneration of financial adviser (FA)’s representatives and supervisors prescribed by the monetary authority of Singapore (MAS) as one of the key outcomes from the Financial Advisory Industry Review (FAIR).  IRIS is intended......

relevant regions
Alpharetta, GA, United States

Know Your Customer and Due Diligence

If your up-front customer or third-party vetting processes aren’t airtight, you may be letting in “bad actors” or exposing your organization to risk from hidden relationships. And if you haven’t properly connected the dots of all risk relevant information around your business relationships, you won’t know where to apply extra......

relevant regions
London, United Kingdom

Know Your Customer (KYC)

Private and commercial banking All new account applications for either businesses or individuals require due diligence to address financial crime risk and to satisfy internal compliance requirements. As part of this process, case handlers must review an extensive know-your-customer (KYC) application form. It can take up to a week to assess an......

relevant regions
London, United Kingdom

kompli-IQ

Searches are performed on target subjects, including corporate entities, individuals, trusts and other organisations (public and private) in relation to published pages and adverse information. Searches include interrogation of indexed content from the world wide web using traditional search engines such as; Google, Bing, Yahoo etc.. But also non-indexed, ‘deep......

relevant regions
London, United Kingdom

kompli-IQmonitor

Ongoing, perpetual monitoring of each search case which includes the corporate target entity and individual subjects can be conducted at a regular frequency defined by the client. (I.e. Monthly, Quarterly or Annually.) You set the frequency depending upon your own risk based policy. Different target entities can be scheduled to......

relevant regions
London, United Kingdom

kompli-IQplus

Searches are performed on target subjects, including corporate entities, individuals, trusts and other organisations (public and private) in relation to published pages and adverse information. Searches include interrogation of indexed content from the world wide web using traditional search engines such as; Google, Bing, Yahoo etc.. But also non-indexed, ‘deep......

relevant regions
Reading, United Kingdom

Konsentus

Are they who they say they are? Identifying Third Party Providers and their current regulatory status before sharing customer data is essential. Any data breaches could result in brand and reputational damage or regulatory sanctions and fines. How can you protect your customers by sharing the right data in the right way......

relevant regions
Luxembourg, Luxembourg

KYC3

KYC3 helps you evaluate PEP status with coverage of the CIA Political Party Leadership List, the CIA Chiefs of State and Cabinet Members List, and our proprietary KYC3 Politically Exposed Persons List. We have over 120,000 PEPs and counting - all carefully selected by our technology. KYC3 will quickly become your “go to”......

relevant regions
Paris, France

KYC 34

How it works Client onboarding and KYC Expedite customer on-boarding procedure by easily acquiring information during the account opening process , with smart forms generation based system. KYC and annual reviews get automated while the lifecycle of your client gets streamlined from on-boarding to suitability. Watch list screening Screens names of individuals and entities against sanctions, PEP, and......

relevant regions
St Helier, Jersey

KYC360

KYC360 is a subscriber community of anti-money laundering and financial crime prevention professionals drawn from the financial services industry, law enforcement, and regulators. It operates at the forefront of the global fight against financial crime. Trusted by AML and compliance professionals worldwide, its contributors include leading figures from the worlds of finance,......

relevant regions
London, United Kingdom

KYC/AML Platform

AI-based identity verification software Play with settings, and add different verification and compliance assessment steps to provide for maximized user experience at the desired verification confidence. 95% Automation Just 5% of corner cases are handled by compliance officers. ≈ 97% hit rate Fewer false positives. 24/7 Support More conversions due to user centricity. Comprehensive integration iOS, Android, API, and......

relevant regions
Cardiff, United Kingdom

KYCchecker™

KYCchecker™ is a highly configurable KYC, age and identity verification platform providing real-time authentication using a fully integrated API gateway. Our proprietary and powerful ‘Interpret’ ‘decision engine enables us to match and score the results from the wide range of data searches available and interpret the results tailored to your own specific requirements. A......

relevant regions
Abingdon, United Kingdom

KYC Checks

NorthRow’s agile technology hosts an extensive breadth of data greater than that offered by single suppliers and we are one of the only firms to have an intelligence-sharing agreement with law enforcement agencies. Our technology-led approach ensures a thorough check is executed using multiple steps to ensure even advanced risk......

relevant regions
London, United Kingdom

Kyckr Platform

Why choose Kyckr? Gain compliance peace of mind We access registries live at every search, providing current and accurate information which meets your AML, CTF and Data Privacy obligations. Enhance the onboarding experience API integration creates a seamless onboarding experience, which reduces customer friction and accelerates revenue. Transform your productivity Smart automation perpetually maintains the quality......

relevant regions
Schaffhausen, Switzerland

KYC Managed Services

Custom solutions designed by experts, made scalable and efficient through platform and automation.  Services are tailored to your needs Scope definition sets an agreed scope that will be focused on, aiding the development of specific modules that we will zero-in on.  Policy ingestion process builds policies and operational requirements into the solution, that is specific......

relevant regions
Malta, Malta

KYC Portal

KYC Portal is the industry’s most advanced CDD and AML data collection and collation platform that centralises and simplifies the customer due diligence process, reducing costs, customer touch points and overall duration - increasing efficiencies by over 60% across the board. KYC PORTAL – Know Your Customer Portal – is the first solution on the market that allows organisations of any......

relevant regions
London, United Kingdom

KYC Services

KYC Services is a core component of the overall IHS Markit due diligence workflow process for brokers, custodians, corporates, fund admins, managers and service providers. Our market leading solution is built on Counterparty Manager, ensuring entity data, document collection, tax profile validation, regulatory protocols and self-declarations, legal credit agreements and......

relevant regions
New Delhi, India

KYCsphere

KYCsphere is an innovative Software-as-a-Service (SaaS) application deployed on the secure Microsoft® Azure™ cloud Platform as a Service (PaaS) and automates the complete KYC life-cycle through a suite of tools. By operating at the intersection of cutting edge SaaS Technology and the much needed KYC Compliance, it addresses important needs of the financial & the service sectors around the......

relevant regions
London, United Kingdom

KyoLAB

Mobile messaging apps are rapidly growing as a means for business communication. The problem is that most of the popular apps are not compliant. Regulated financial services have been fined billions of dollars for misconduct since the financial crisis. Regulators reacted by demanding that all electronic communications and transactions are......

relevant regions
Cardiff, United Kingdom

LiveBoat™

Today we find ourselves in a world where your consumer and corporate customers want to transact, play and conduct business online 24hours a day, 365 days a year. This can be across multiple jurisdictions and time zones, often with no regard for either scheduled or unscheduled system maintenance. What happens to......

relevant regions
Farehamm, United Kingdom

Mailock

Ensuring that confidential information is delivered securely to the right recipients is paramount across the financial services sector. As part of a regulated sector, financial services businesses understand that they have a duty of care that extends beyond pure legal and compliance requirements to secure their own and clients' information. Mailock creates......

relevant regions
London, United Kingdom

Marketing Restrictions - Asset Management

Established in 2001, we deliver high quality online legal risk management products which help you operate more efficiently.  Our cross-border financial regulatory services are used by a wide range of asset managers including hedge and mutual funds, sovereign wealth funds, private equity and pension funds. Our services are designed to reduce your local......

relevant regions
London, United Kingdom

MaxComply

Complying with the latest AML regulations can be a huge challenge for private practices, law firms and financial services firms. In the current climate rules become more complex and anti money laundering compliance against terrorist financing is thrust into the spotlight. Lawson Conner’s anti money laundering compliance software (MaxComply) can cut......

relevant regions
Windsor, CT, United States

MAXIMIS

SS&C's investment management and accounting solution (MAXIMIS) for the global investment management marketplace allows investment operations to meet the ever-changing requirements of insurers. MAXIMIS is a real-time, intranet-enabled application that is both robust and scalable. With its unique database architecture and data-driven technology design, MAXIMIS offers the flexibility you need....

relevant regions
Denver, CO, United States

MessageWatcher

MessageWatcher delivers a platform that enables you to manage all of your communications from one dashboard while mitigating risk and satisfying industry and government regulations. Our approach to data storage and automated reporting means that your compliance team will gain valuable time and increased productivity. We focus on providing intuitive, reliable,......

relevant regions
Zurich, Switzerland

MIFID II Assessment

We support you to set a course for the future at an early stage, in order to tackle the challenges ahead in a self-confident and targeted manner. The assessment phase consists of two steps: a “Self Assessment” and an “Evaluation Meeting with the EAM”. Of course, we are also happy......

relevant regions
San Diego, CA, United States

Mobile Verify®

Trusted identity document verification Mobile Verify®, Mitek's ID verification solution, is used by financial services organizations and leading brands across the globe to create trust in the digital channel for safe onboarding, fast money movement, and user authentication. Digital leaders trust identity verification with Mobile Verify® because of its proven, customer friendly......

relevant regions
London, United Kingdom

Model Office

Whether you are a wealth manager, financial adviser, planner or banking firm, Model Office is a concept that uses ongoing market and compliance-driven research to benchmark your working environment against 5 keys that demonstrate sustainable and professional best practice. This diagnostic test is the first stage in a process of strategic......

relevant regions
Alpharetta, GA, United States

Model Risk Management

Effective model risk management is more critical than ever. Increasing, evolving AML regulations are the norm and upcoming changes such as Rule 504 regulations and other updates will only add to the challenge. Validation can be cost-prohibitive, time consuming, difficult to benchmark—and after all that, still fail to address the......

relevant regions
Bangalore, India

Mphasis Governance, Risk & Compliance Services

Securing businesses In today’s world, businesses need to find a balance amongst effective governance, risk management options, and industry compliance standards. Mphasis helps businesses overcome these challenges and provides solutions that identify and effectively manage risks and compliance violations. Mphasis governance solutions New product approval Mphasis provides services (consulting, technology, and process outsourcing) around the......

relevant regions
Zug, Switzerland

MROS-Reporting (goAML)

From 1 January 2020, MROS will introduce a new electronic system (goAML) for the transmission and processing of suspicious activities. Suspicious activities and transactions must either be recorded manually via an online platform or transmitted via an XML file. Confinale has developed a fully integrated MROS reporting solution in Avaloq. During......

relevant regions
Geneva, Switzerland

MRR

A library in the form of a database of Swiss laws, financial regulations, the authorities’ official practice, as well as best practices. A dynamic tool of analysis and regulatory risk assessment in line with FINMA requirements and market standards, including a follow-up regarding reporting of the implementation works on regulatory constraints. BRP news: an ongoing......

relevant regions
Hørsholm, Denmark

muinmos PASS

muinmos developed PASS, a software which instantly and globally classifies/ categorises the client in accordance with MiFID in the EU or as equivalent in the rest of the world (KYCC), and instantly determines whether a financial institution can on-board a client to trade with it in a particular service (KYS),......

relevant regions
New York, NY, United States

MyRIACompliance

We provide monthly RIA compliance services to over 1,500 firms. Our team of former regulators has SEC and state-level investment adviser regulatory expertise and can answer compliance questions, review marketing documents, provide Chief Compliance Officer training, or help prepare for an audit. For all service levels, we assist with all Form ADV......

relevant regions
Paris, France

NeoXam Compliance

As you invest in more markets, and in more investments vehicles for a more diversified client base, your operational risk can significantly increase and the constraints applicable to the investment process will become more complex to monitor. You require specific alerts that are tailored to the severity of potential breaches......

relevant regions
Palo Alto, CA, United States

Netverify®

Netverify® is the global leader in Trusted Identity as a Service and combines ID Verification, Identity Verification, and Document Verification for a complete solution to establish the real-world identity of consumers. Leveraging advanced technology including biometric facial recognition, machine learning, and verification experts, Jumio helps businesses meet regulatory compliance including KYC and......

relevant regions
Petah Tikva, Israel

Network Archiver

Capture and archive Mobile SMS/MMS/calls Messages/calls are captured by the mobile operator at the network level, a copy is sent to the TeleMessage archive server Used for enterprise owned phones, not for BYOD devices Works for Smartphones and legacy phones No App necessary   ...

relevant regions
Centennial, CO, United States

NexCompliance

By simplifying the compliance process, managers can quickly respond to regulatory requests with electronic reports, increasing confidence that the firm is well managed. The NexCompliance module included: Compliance rules-based engine Pre and Post trade surveillance Suitability / Investment oversight AML testing Tracks CE Oversight 17a3 letters Electronic blotters ...

relevant regions
Toronto, ON, Canada

NexJ Know Your Customer

Staying on top of Know Your Customer (KYC) requirements is not easy, especially as the regulations change almost every year. Collecting the right data is a challenge, with front-line staff often guessing at what information to document. NexJ’s Know Your Customer – KYC software is specifically designed to automate and streamline KYC processes from onboarding through......

relevant regions
Manchester, United Kingdom

Nivo Hub

Our products empower consumers and enable organisations to deliver better customer service, reduce costs and innovate. Built for Barclays by industry experts, Nivo is an instant messaging platform with bank standard authentication, encryption, and identification features built in. Because you know who you’re talking to and that data is safe, you......

relevant regions
London, United Kingdom

novastone for finance

Mobile messaging is the fastest growing and most dominant digital vehicle ever with 2.5 billion people in the world on messaging apps today. A recent study from the US suggests that up to 1/2 of the financial industry’s employees are using mobile messaging outside of firms’ secure environments. novastone for finance is the next generation instant messaging......

relevant regions
Lakeville, CT, United States

NRS ComplianceGuardian

NRS ComplianceGuardianTM helps you take control of your compliance processes and begin building a culture of compliance in your firm. Developed on the knowledge NRS has acquired in its 25 years as an authority on compliance, the Technology delivers a wealth of tools for establishing and maintaining your firm’s compliance program.......

relevant regions
Geneva, Switzerland

Onboarding

New Access Onboarding is a front-office tool fully integrated into our BANKER’S FRONT solution. It has been designed to help the relationship manager manage the full account opening process for a better and smoother customer experience. New Access' Onboarding solution automates the processes within the bank and across all its branches......

relevant regions
Chicago, IL, United States

OneSpan Sign

Digitizing business processes Banks, credit unions, and financial services providers are modernizing the customer experience with e-signatures to deliver a fully digital experience on any device. Customers can now open a bank account, close a mortgage, and apply for insurance without paper slowing the process. In addition to digital transformation, electronic signature......

relevant regions
Minneapolis, MN, United States

OneSumX for Risk Management

Today, financial services organizations are pursuing a strategy that provides greater links between risk and performance. They are being challenged to develop better risk management indicators, more integrated risk management, and to embed risk in the front office. They need to improve all three lines of defense to manage operational......

relevant regions
Lauanne, Switzerland

OneVisage

The Challenges  Retail and private banks typically have expensive and painful authentication solutions to address login processes. Actually, all solutions still require an alphanumerical credential such as a password, pin-code, OTP or (weak) security question to login, which creates major security weaknesses. A couple of organizations are also using hardware security......

relevant regions
London, United Kingdom

Oversight & Supervision

Financial regulators have access to increasingly large and complex datasets which need to be operationalised into ongoing monitoring and risk analysis. Supervisory Technology (SupTech) analytics encompass a set of technologies that enable financial authorities to investigate the increased volume of data now available, to refine policy, identify regulatory concerns and mitigate......

relevant regions
Cham, Switzerland

Oxial sGRC

What are the immediate and lasting benefits for your company and your teams upon integrating our software? Spend less time consolidating data, focus on analysis and build dynamic reports Manage all types of risk in one place, unifying processes at an enterprise level Map, plan, execute, monitor and evaluate audit and control missions......

relevant regions
London, United Kingdom

Oxygen GDPR Compliance Guardian

In today’s marketplace, almost every employee is now a content contributor. This influx of new content, however, brings about new risks: Legal systems and government regulators worldwide are clamping down and demanding greater compliance, particularly on IT systems, making it essential that organisations quickly implement risk management protocols. All organisations must......

relevant regions
Vancouver, BC, Canada

PageFreezer

PageFreezer takes compliance and litigation off your plate by automatically archiving your websites, social media and enterprise collaboration in one easy cloud-based dashboard. Archive website data & social media content in real time for regulatory compliance and competitive intel Take the risk out of your website and social media communications with a......

relevant regions
London, United Kingdom

Palm Verifier

iProov's contactless mobile palm authentication offers an extremely simple yet highly secure means of authentication without the need for any specialist hardware. It can be used in conjunction with iProov's face-based products, Verifier and ID Matcher, to create a multi-modal solution. Why authenticate with palm verifier? Anonymous & unique Palms are not an......

relevant regions
St Helier, Jersey

PanOptic

Risk management. Redefined Panoptic Software formulates intelligent solutions to complex problems of risk management and corporate governance. The business synthesises the intellectual power of leading financial crime prevention and compliance expertise with outstanding software development skills, resulting in world class products which drive efficiency and enable optimal compliance.   ...

relevant regions
London, United Kingdom

PassFort Platform

PassFort helps financial institutions digitally transform their customer onboarding journeys. Arrive at a perfect balance between regulatory compliance and customer experience. Maximise straight through processing, and alert teams when manual intervention is needed Turn existing policies into digital onboarding journeys for every product and jurisdiction Integrate data providers through one platform and reduce time......

relevant regions
Cambridge, MA, United States

Pega Know Your Customer

Pega KYC with FATCA for Financial Services delivers a proven solution for streamlining compliance during onboarding and maintenance. This unified platform automatically enforces common best practices and regulations while dynamically supporting unique regulations, policies and procedures by geography, line of business and product. Global institutions can easily automate the steps......

relevant regions
Zurich, Switzerland

PEP-Check

The PEP-Check solution PEP-Check enables organizations to run checks on potential and existing clients against official sanction lists, PEP (politically exposed person) lists, and risk lists (watch lists and blacklists) as required by law and recommended by the international FATF (Financial Action Task Force)....

relevant regions
Caerphilly, United Kingdom

PEPs & Sanctions Checks

Protect your business with PEPs and Sanction checks Governments throughout the world are tightening their regulations in response to a continuous rise in bribery and corruption, putting businesses that engage with Politically Exposed Persons (PEPs) under increased scrutiny. Protect your business and ensure compliance by employing a higher degree of due......

relevant regions
Norwalk, CT, United States

Performance Measurement & Attribution

With sophisticated next-generation portfolio analytics paired with our award-winning B-One performance and attribution solution, FactSet brings you greater accuracy of performance calculations and reporting with higher frequency and faster delivery, while helping you maintain compliance with new and emerging regulations.   ...

relevant regions
Toronto, ON, Canada

Point of Sale

Our Point of Sale solution is the industry leading compliance document repository and delivery platform for POS and CRM2 Point of Sale/CRM2 features Features Document repository contains all fund facts, ETFs SaaS advisor application and API solution Enterprise compliance reporting and adjudication Integrated with all leading CRM platforms Benefits Meet all POS/CRM2 regulations with one application Reduce/eliminate risk of non-compliance Realize cost reduction......

relevant regions
Toronto, ON, Canada

PortfolioAid360°

PortfolioAid360° is accessible to all compliance stakeholders including compliance officers, branch managers, investment advisors, and administrative staff. As compliance is a shared responsibility, greater access, insight, and effective collaboration tools offer tremendous competitive advantages. Major benefits of PortfolioAid360°: Uniform security risk rating strategy Enable alerts and exception reporting Deploy an inquiry workflow dashboard Provide advisor......

relevant regions
Toronto, ON, Canada

POS Fund Facts

Fund document library Fundata has developed the latest industry compliance solution to help investment brokerage dealers, back-office developers and financial advisors meet new regulatory requirements in the delivery of Point-Of-Sale Fund Facts documents to investors. Fundata has aggregated fund facts documents for mutual and segregated funds, either directly from fund manufacturers......

relevant regions
London, United Kingdom

Position Limits

Our Position Limits service allows users to continuously monitor their positions against exchange limits with a powerful, intuitive platform. We support multiple limit levels for thousands of diverse commodities, across many exchanges. With MiFID II now in force and the CFTC undergoing discussion around changes in this space, effective commodities trading and position......

relevant regions
Gryta 2B, 7010 Trondheim, Norway

Preservation archive

...

relevant regions
Trondheim, Norway

Preservation archive

A focus on electronic document preservation Electronic signatures don’t last forever, and so it is important that electronically signed documents contain Long-Term Validation (LTV) information. By working with Signicat, you can ensure all electronically-signed documents can be validated in years to come. Long-Term Validation (LTV) LTV ensures that signatures embedded within documents can be......

relevant regions
London, United Kingdom

PRIIPs / KIDs

Lawson Conner’s regulatory reporting practice can deliver comprehensive KIDs (Key Information Documents) support to our clients, including private equity firms, banks and fund managers. Our software “LC KID” delivers a robust solution to comply with the Packaged Retail and Insurance-based Investment Products (PRIIPs) regulation. The software generates the relevant document production......

relevant regions
Zurich, Switzerland

PRIIPs KID Services

Is your MiFID II and PRIIP data aligned? Having already collaborated with industry to develop services for MiFID II and PRIIP compliance, we are supporting the industry to establish a standard set of data for investor protection compliance. This will allow manufacturers to distribute the most relevant data for products, as well as......

relevant regions
Las Vegas, United States

PrimeTrust Compliance

Automate your onboarding with our BSA-compliant service, available in conjunction with our custody, escrow, exchange, stablecoin, and tokenized assets APIs. Our AML (anti-money laundering), KYC (know-your-customer), and bad actor checks bring together hundreds of data sources to meet your regulatory and risk management obligations while removing the need for physical storage. The tools you need to......

relevant regions
York, United Kingdom

PRM

Trailight’s new PRM platform integrates Key Performance Indicators, and action-oriented workflows, so staff performance, capability, and training & competence, is transparent, measurable and trackable. A pioneering solution to help firms comply with new rules around competence from the FCA, RDR and MiFID II....

relevant regions
Zurich, Switzerland

Product Navigator

"Product Navigator" is our flagship module which provides suitability information on ISIN level for investment products. Regulatory, tax and product specific data and rules are considered to support the advisory and distribution process....

relevant regions
Paris, France

Prospectus Writer

Create all your regulatory documents with us! Prospectus Writer is an Artificial Intelligence software offering a solution to easily create any content and template of regulatory documents. It creates, edits and draws up complex written texts and sections in a matter of seconds. The solution covers a wide range of document templates......

relevant regions
Port Matilda, United States

Providence Platform

Providence is a platform for broker dealers and independent producer groups to help manage their advisors website compliance processes with ease from a single dashboard....

relevant regions
Munich, Germany

PSD2 ready API

What about your PSD2 API? Are you ready for enabling PISPs and AISPs to access your customers’ accounts for executing their services when resquested by customers? ndgit has your back. We expose your systems with our API-Management Platform in just 40 days and prepare your infrastructure for easy upgrade to Open......

relevant regions
Rödermark, Germany

PSplus Wealth Manager

PSplus Wealth Manager is the ideal wealth management software for family offices, asset managers, banks and foundations. As well as representing liquid assets, PSplus depicts private equity, real estate and other illiquid assets and consolidates complex asset structures. The modules Advisor Portal and Client Portal support in addition the complete process......

relevant regions
Toronto, ON, Canada

Publisher/ai

Imagine a solution that takes financial statement and performance data, automatically generates product commentary, translates into any language and produces professionally composed compliance documents in a single integrated platform. Combining the power of automated publishing and AI. This is publisher/ai....

relevant regions
London, United Kingdom

Quantexa®

Quantexa® technology is unique; it provides the ability to perform both batch and real-time entity resolution and network analytics on billions of records. Our products are underpinned by widely adopted open source technologies, ensuring alignment with your existing investments, reducing cost and allowing you to own, manage and extend the......

relevant regions
Kansas City, MO, United States

Real ID

Know your customer — anywhere With the ZOLOZ Real ID SDK’s facial recognition, anti-spoof technology and advanced optical character recognition (OCR), users can validate their identities in real-time any time, anywhere. When they do, you can trust that you’re meeting your industry’s Know Your Customer (KYC) or Real Name Verification requirements, adhering......

relevant regions
London, United Kingdom

Reference Data Testing

This service checks if the correct counterparty or client has been reported. Executes a range of tests to counterparty and instrument reference data for both accuracy and completeness. Full population of reference data is tested for complete mappings to the appropriate identifiers. Assesses the use and allocation of internal identifiers.......

relevant regions
New York, NY, United States

RegBi Optimizer

Cut Costs of Compliance Dramatically! SEC estimates that it will cost $11,607 per advisor to comply with RegBI, we will help you comply for a fraction of that! Reviewed by Top Securites Attorneys: RegBIoptimizer is the only software reviewed by top securities law firm for compliance with Regulation Best Interest Complete Solution for RegBI......

relevant regions
Zurich, Switzerland

regfinity

Simplifying compliance Compliance is part of every business activity of a bank. Through digitizing processes, optimizing workflows and improving internal communication regfinity helps an organization to become more efficient and productive. Reducing compliance risk regfinity ensures compliance. Through improving transparency and consistency. Through presenting the impact of regulatory changes and the right remedial......

relevant regions
New York, NY, United States

Reg-Impact

Identifying rules You can select which individual rules your company needs to assess for compliance, as soon as they are published. You can filter so you only see a subset of rules, relating to selected regulators, countries or rule-types. Reg-Impact allows you to review existing rule summaries and web-links for over 200......

New York, NY, United States

Reg-Track

There are two things that never slow down – the pace of business and the pace of regulatory change. Reg-Track is the compliance and finance professionals’ answer to keeping current and staying informed on these changes. With Reg-Track we can ensure that you are ready, keeping pace and planning ahead......

Cardiff, United Kingdom

Regulatory and Support Services

We work hand in hand to design solutions to meet your ambitions and can develop your core capabilities through a range of consultancy, regulatory and support services. We appreciate and understand the regulatory and compliance challenges facing organisations offering private assets to individual investors; mainly when operating across borders or......

relevant regions
London, United Kingdom

Regulatory Compliance

Maze of regulations makes compliance challenging Today’s enterprises operate in an increasingly complex regulatory environment. Lawmakers have intervened at every level. Intergovernmental, such as the EU’s GDPR National, such as Singapore’s Personal Data Protection Act (PDPA) US State, such as the California Consumer Privacy Act (CCPA) Organizations may also be subject to industry-specific rules, such......

relevant regions
Zug, Switzerland

Regulatory & Compliance

Advisory and process Addressing, defining, and implementing vital governance strategies with robust management and reporting structures. Change/build Helping you meet regulatory demands, as well as reduce and control compliance costs through proven strategic solutions. Integrate Identifying all your buy/build needs, from implementing packaged solutions to integrating with existing systems. Digital enablement Meeting regulatory needs with new technologies......

relevant regions
Dublin, Ireland

Regulatory Data Management

New regulations, from MiFID II and PRIIPs in Europe through to SEC Reporting Modernization in the US, require firms to collect, enrich and derive data from multiple internal and external sources — a siloed or manual approach leads to the delivery of inaccurate, incomplete or inconsistent data, putting your firm......

relevant regions
Zurich, Switzerland

Regulatory Document Service

Producing and updating legally-compliant regulatory documentation for every financial instrument is a real burden on financial institutions. The required standardization that ensures investors are able to compare different financial products on a level field and the degree of precision in which investors must be informed of costs and charges incurred......

relevant regions
New York, NY, United States

Regulatory Investigations

In addition to the Foreign Corrupt Practices Act (FCPA) and UK Bribery Act, tougher regulations regarding reporting, anti-money laundering, sanctions, and anti-competitive practices are being implemented across the globe. As a result, regulatory exposure continues to be a major risk for international businesses. Kroll’s unmatched investigative capabilities, worldwide presence and......

relevant regions
Oslo, Norway

Regulatory Reporting Data

Files can be setup in standard or customizable formats to help meet each customer type’s specific need for internal or external regulatory reporting. A sample selection of our services: UCITS Solveny II Ratings CRD IV, LCR & HQLA Green bonds Public reporting Interest calculations ...

relevant regions
Frankfurt am Main, Germany, Germany

Regulatory Reporting with arep

The requirements for regulatory reporting have continuously increased over the last few years. To meet these new obligations, investment management companies, banks and insurance companies must implement future-oriented reporting systems. At acarda, we possess the necessary knowledge for setting up new reporting systems for these financial institutions. PRIIPs  Reporting MiFID II Reporting Cost......

relevant regions
Rotkreuz, Switzerland

Regulatory Services

We combine the agility of a subscription based policy maintenance service with the reliability of a market leader in the regulatory platform space. Jointly with our strategic partner AxiomSL we provide expertise and end-to-end services around the most relevant regulatory policies. Experiences range from SNB reporting to Basel 3 Credit......

relevant regions
New York, NY, United States

Regulatory Solutions

Whether for Open Protocol, Form PF, 40 Act, UCITS, AIFMD, or other emerging frameworks, Imagine’s sleek solution for managing complex compliance needs enables clients to achieve strategic growth targets while managing evolving regulatory and reporting demands. Imagine’s all-in-one limits monitoring and risk management tool, which has become an industry mainstay, gives......

relevant regions
Huddersfield, United Kingdom

Regulatory Support

Our support is designed to help you spend less of your valuable time on compliance processes and more with your clients; that’s why we’ll always talk to you about compliance in plain English and tell you exactly what regulation or policy change means for you and your clients, and what......

relevant regions
Alpharetta, GA, United States

Relationship Identifier

Understanding interconnections between the people and/or business entities within a transaction can enable your business to identify coordinated origination fraud schemes. LexisNexis Relationship Identifier delivers specific intelligence about the relationships between people and businesses to help defend your business from fraud. Mitigate collusion attempts with magnified relationship perspective Relationship Identifier creates an easy and......

relevant regions
Milwaukee, WI, United States

Renaissance

Renaissance is our all-in-one compliance management system (CMS) that helps simplify the process of managing your annually-required training and tracking procedures. Known for its user-friendly interface and integrated service options, the platform is easy to maintain, with unmatched client support....

relevant regions
Leeds, United Kingdom

Reporting, Monitoring & Alerts

Reporting is comprehensive and concise, a single client report is produced as a secure pdf, providing the detailed information required to comply with Anti Money Laundering (AML) regulations. This information is securely hosted for the duration of your contract enabling fast and efficient retrieval to support any client investigation, compliance......

relevant regions
London, United Kingdom

Research Management

Who it helps Front office: a non-intrusive front-office approach to preventing inducement, tracking consumption and valuation Compliance teams: track & understand interactions in-house, prevents inducement and ensure compliance across all channels Senior management: Gain a clear perspective on the cost and value of research, maximise your investors’ value from research and reduce the risk......

Miami, United States

Resolvr

Increases revenue Digital data streams and artificial intelligence optimizes expense allocation to increase our client funds' profit margins. Streamlines communication On-platform communication features for team members and vendors ensures efficient workflows and turnarounds. Optimizes operations We reduce invoice processing time, on average, from 46 days to 1  Stop losing timeand money By using Resolvr a bank could......

relevant regions
Omaha, NE, United States

RIA Express – Compliance Manual Drafter

You answer a dynamic and detailed set of questions online in RIA Express about your investment advisor’s personnel, business model, and procedures and practices. RIA Express will then automatically create a customized written supervisory procedures and code of ethics manual based upon your answers and the published investment advisor rules of your firm’s primary......

relevant regions
Athens, Greece

RiskAvert

RiskAvert is the modern risk management solution that allows financial institutions to gather and reconcile data, calculate, aggregate and report regulatory credit, market, operational and concentration risk in a natively integrated, yet modular environment. It covers all approaches for Operational, Market and Credit Risk Calculation allowing the bank to evolve from......

relevant regions
Schaffhausen, Switzerland

Risk & Compliance

Expectations are rising, budgets are under pressure and the battle for talent is intense. No wonder so many financial firms are looking for new, better ways to deal with risk. We use process re-engineering and automation to transform the way you manage risk. With our unique mind+machine approach and state-of-the-art tools, we......

relevant regions
Kansas City, MO, United States

Risk & Compliance Intelligence Suite

Expectations for transparency, regulatory efficiency, and oversight are intensifying as regulators look to prevent market manipulation, protect national and regional security, and improve investor confidence. Surveillance and notification tools can help protect your reputation and profitability. Risk and regulatory surveillance – especially as it relates to anti-money laundering and fraud detection,......

relevant regions
London, United Kingdom

Risk & Compliance Training

1-2-1 & classroom training 1RS provides 1-2-1 or group classroom training sessions, tailored to the needs and the level of experience of the subject of the attendees. Online training modules 1RS provides online secure training models, with end of module assessments to ensure your staff are trained to a relevant level of understanding. Webinar......

relevant regions
Solna, Sweden

Risk & Credit

New customer relationships always include a risk that they have a different idea about what is important such as the need to pay invoices on time or, indeed, pay them at all. They might also think that frequently transferring large sums of money to a small pharmacy in a remote desert village is totally legitimate......

relevant regions
Dublin, Ireland

RiskFusion®

Global enforcement database At the heart of the Corlytics solution is a dataset that aggregates and standardises regulatory enforcement. We capture over 100 data-points. Each case is reviewed by specialist lawyers who annotate the case providing metadata and insight. Our risk intelligence covers individuals as well as firms. We track enforcement trends......

relevant regions
Zurich, Switzerland

Riskifier

Investor risk profiling MiFIDII compliant digital solution, with imbedded guidelines, inconsistency checks, alerts and client focused report, raising your client awareness about their financial decision making strengths and weaknesses. Behavioral insights Take a personalized approach with regards every single your client, by understanding how they really feel and act when it comes to......

relevant regions
London, United Kingdom

Risk Limits

Risk Limits is a solution that helps you prove to existing clients and regulators that risk is actively managed and quantified on a daily basis, hence your company follows best practices on risk monitoring and active risk minimization process is followed, in order to achieve highest possible returns. Key features: Daily......

relevant regions
London, United Kingdom

RiskSave Compliance

Policies & procedures  RiskSave will work with you to review your existing documentation or to design a completely new set of policies and procedures to be used at the firm. This can include your compliance manual, AML/CTF procedures, suitability assessments, Pillar 3 disclosures and ICAAP & liquidity statements, as well as......

relevant regions
St Helier, Jersey

RiskScreen

RiskScreen is an advanced KYC due-diligence screening tool which is cost-effective and easy to use. RiskScreen searches a continually updated database of the world’s leading sanctions regimes, over a million PEPs, and hundreds of thousands of individuals on government watch lists....

relevant regions
Oakland Gardens, NY, United States

RoboMonitor

Helps your firm manage the main DOL fiduciary requirements: Client profiles (new and existing Risk monitoring and reporting (including fees and expenses) Dashboard for overall management RoboMonitor is unique in the industry because it utilizes Morningstar ratings as the reference standard in measuring risk for clients and retirement accounts....

relevant regions
New York, NY, United States

Rollover compliance

The world's largest repository of retirement plan fee disclosures Leverage FeeX's expansive, ever growing database of retirement plan fee disclosures to compare retirement plan services and fees before recommending a rollover. Statement processing Stop the manual work of deciphering client's statements. Instead, send them to FeeX for an automated and accurate analysis. Automated data......

relevant regions
Plano, TX, United States

Ruth

Our proprietary AI/ML-based “alerting engine” that correlates products being sold, and revenues being generated with the “FSBI” fiduciary, suitability, and best interest regulations. In doing so, we can help you evidence your regulatory requirements....

relevant regions
London, United Kingdom

SaaS – Compliance Conduct Monitoring

Reduce compliance risks and increase efficiency through smart monitoring technology Regulators around the globe have identified critically important areas in relation to financial services firms’ understanding of their regulatory obligations, control and oversight of their regulated activities and employees.  The new Senior Managers and Certification Regime is only adding more responsibility for......

relevant regions
London, United Kingdom

SaaS – Onboarding Software

Are you taking too much risk from onboarding investors or clients? Outsourcing compliance to Lawson Conner gives you access to external, sector-specific compliance and structuring resources that might not exist within your organisation otherwise. Compliance outsourcing allows for a flexible, long-term and short-term response to variable workloads. Our onboarding software, which reduces......

relevant regions
London, United Kingdom

Saffron Digital ID Verification

In today’s uncompromising regulatory environment no business can risk handling funds that are not legitimate, accountable and auditable. For companies to avoid large fines and reputational damage they need to avoid customers and funds that are associated with money laundering, fraud or terrorism.  From financial services to real estate and travel,......

relevant regions
Chicago, IL, United States

SAI360 platform

The SAI360 platform provides: Continuous monitoring of regulatory change through actionable workflows Better grip on policy management, fraud, anti-bribery and corruption Embedded risk management that’s easy to implement throughout Actionable insights that come with real-time, drillable dashboards Easier reporting to senior leadership, regulators and always audit-ready Engaged training that meets regulatory obligations and increases compliance ...

relevant regions
Pennington, NJ, United States

Sales Practice Monitoring

Powered by Actimize. Albridge Sales Practice Monitoring allows your firm to monitor transactions and accounts at either the branch or advisor level and document compliance comments or actions. Your firm can support increased sales activity levels without increasing compliance staff. This is through automated identification of regulatory hot spots and red flag......

relevant regions
Sydney, Australia

SAMI Compliance Software

Prepares SAMI categorises advice files Compliance workbench and system of record Integrates Handles multiple docs and file types Assesses SAMI checks, highlights, scores and risk tags Pre-assesses Highlights Pre-scores Risk tags Suggests actions Reviews and comments Pre-populates report Verifies Easy and enjoyable to use Compliance workbench and reporting solution enabling efficient, effective reviews Interactive, supportive Enables consistency Workflow convenience Reports Real time reporting, efficient workflow, supports coaching Dashboard reporting Real-time visibility Pre-emptive, Proactive Integrates Scale......

relevant regions
Hoboken, NJ, United States

Sanctions Screening & Watch List Filtering​

We know that penalties for sanction violations are increasing in volume and magnitude, threatening significant fines and reputational damage for non-compliance. As a result, a comprehensive sanctions screening program is critical.  Your firm must successfully screen transactions and customers against multiple sanctions lists, identify politically exposed persons (PEPs), and avoid......

relevant regions
Cardiff, United Kingdom

SAVI™

SAVI™ (Screen and Verify Identity) is a web-based, desktop portal which allows users to interrogate a myriad of databases such as Sanctions & PEP (Politically Exposed Persons) on a ‘single search’ basis. SAVI™delivers instant results for investigation, remediation and case management purposes. Stay informed and up-to-date with W2 SAVI™. At W2 we make it our business to......

relevant regions
Leeds, United Kingdom

Search & Security Checks

SmartSearch has never been more relevant, AML regulation is not going away and we have seen the major penalties for non-compliance levied on banks and financial institutions increasing almost with every event. In SmartSearch we have created a suite of security checks which delivers full AML verification functionality for individuals and......

relevant regions
Iowa, United States

SEC Reporting

Trust the market leader in SEC reporting Foreign private issuers (FPIs) trust Workiva to increase productivity, improve data accuracy and optimise their SEC filing process. The smart way to file Reporting, compliance and legal teams can collaborate in real time on data and narrative. This ensures complete visibility and trusted data. Documentation, data......

relevant regions
Basel, Switzerland

Secure Messenger

Unblu Secure Messenger helps banks to provide the WhatsApp texting experience whilst remaining compliant. Designed to meet the needs of a secure and compliant relationship manager (RM)/ client conversation and collaboration session, it can be easily integrated into mobile native or browser-based applications. Unblu Secure Messenger provides the same kind......

relevant regions
Oaks, PA, United States

SEI Wealth Platform

SEI Wealth Platform: The future is here Wealth management firms like yours face an array of ever-growing risks. Profitability pressure, increased competition, regulatory concerns, rapidly evolving technology and escalating demand for seamless, customer-driven experiences are driving industry change at a brisk pace. It’s a complex situation that requires a unified solution......

relevant regions
Zurich, Switzerland

Service Navigator

The content of regulatory manuals (behaviour, cross-border, products, tax) is digitized, holistically and accurately combined with the client context, leading to unambiguous service suitability feedbacks....

relevant regions
London, United Kingdom

Shareholding Disclosure

Does your firm rely upon error-prone, manual self-interpretation or outdated and expensive proprietary software? We ensure that compliance professionals can reduce the time and cost associated with shareholding disclosure, prove adherence to regulation, mitigate reputational risk and avoid fines. Our outsourced, managed service combines a powerful rules engine with a dedicated team of compliance......

relevant regions
New York, NY, United States

Signal

Managing position limits and substantial shareholding disclosure thresholds is cumbersome. Regulations can change at any time, rules and processes vary by jurisdiction, and there can be penalties for noncompliance. Signal is a monitoring and reporting solution, providing alerts and filings based on transactions and holdings thresholds. Coverage includes major exchanges and......

relevant regions
London, United Kingdom

Signal Compliance & Risk

Signal AI is the most comprehensive knowledge base of regulatory updates and amendments in legislation across multiple geographies and business areas for tax, legal, compliance and risk experts. Our artificial intelligence provides hyper-relevant and real-time alerts that will help you ensure regulatory compliance, from bill proposal to becoming an act through......

relevant regions
Trondheim, Norway

Signicat Assure

Giving the customer what they want Did you know that >50% of customers abandon the onboarding process due to identity checking procedures that are stuck in the past? With Signicat, you can streamline your offering to give consumers the experience they expect. Remain secure Streamline your offering Enhance the user experience Stay compliant Signicat connects to over......

relevant regions
Gryta 2B, 7010 Trondheim, Norway

Signicat MobileID

...

relevant regions
Trondheim, Norway

Signicat MobileID

Trusted mobile authentication Signicat MobileID couples high security with great user experience for the end user. By leveraging fingerprint technology or Apple Face ID for authentication, you can cut login time to less than 3 seconds, while significantly reducing cost associated with an authentication transaction. Signicat MobileID offers multi-factor authentication for secure......

relevant regions
New York, NY, United States

Silverfinch

Silverfinch Regulatory Exchange facilitates secure regulatory data sharing and look-through with ease. Exchange Once you subscribe to the Exchange, data can be shared universally between asset managers and investors, vendors or platforms, allowing you to adopt Silverfinch as a single venue for regulatory data distribution. Control Let us protect your data; retain full control......

relevant regions
Givisiez, Switzerland

SironAML-Suite

Our compliance and customer due diligence solutions, based on the award-winning technologies of the Siron BI tool from FICO Tonbeller, helpfully comply with intensified regulations and to deploy a truly risk-based approach to customer risk management....

relevant regions
Herndon, VA, United States

Skience Compliance

Protect your business by making informed compliance decisions that respond to the heightened regulatory requirements financial services firms face today....

relevant regions
Herndon, VA, United States

Skience Onboarding

Make your first and future client experiences memorable with innovative capabilities that support a smooth and effortless onboarding process, increasing productivity for all parties involved....

relevant regions
Scottsdale, AZ, United States

SL2

Empowering compliance BYOD across +100 countries For BYOD customers, SL2 separates personal and work activity on the same smartphone. We deploy a separate, second phone number via the SL2 app. These are called Mobile Business Numbers (MBN) on employee phones to segregate work and personal communication. Voice and text/sms communication can be......

relevant regions
Portland, OR, United States

Smarsh for Finance

Corporations are expanding their use of new communication tools to increase productivity at work, but it also leaves financial organizations vulnerable to the risks of non-compliance if they don’t have solutions in place to meet their regulatory needs. Smarsh helps more than 6,500 global customers in the financial services industry, including......

relevant regions
London, United Kingdom

smartKYC

With smartKYC, we’ve automated as much of the search and filtering process as possible, leaving the analyst more time to investigate who the client really is and not having to spend all their time searching news sources and structured databases. How? Using both a federated and highly advanced multilingual semantic search engine, smartKYC......

relevant regions
Delray Beach, FL, United States

Smart RIA Compliance Software

RIA Compliance Group offers a customized version of the software that is designed to meet the compliance needs of small and midsized RIAs. Our custom software solution allows specialized features that include, but are not limited to: Automated registration/notice filing monitoring Monthly compliance review tools Customized compliance calendar Secure, cloud based document storage Etc... ...

relevant regions
Geneva, Switzerland

SocialComply

The impact of social media The use of social media can impact a financial organisation’s risk profile due to poor due diligence or oversight. Identifying risky information in the context of a conversation that may pose a threat to your brand, intellectual property, and reputation or potentially create a less than......

relevant regions
Sunnyvale, CA, United States

Social Media Compliance

Modern compliance and governance requirements include regulation for social media. From FINRA to FCC, it’s imperative to ensure compliance as you scale your social media efforts. Bridging the gap between social media compliance and marketing practice can be a big challenge. Fortunately, Proofpoint Social Media Protection can help. Social media compliance made simple Social Patrol......

Geneva, Switzerland

SOFGEN SaveTax

A complex pain-point for financial institutions, multi-jurisdictional tax reporting sports a hierarchy of ever-changing rules that many tools are ill-equipped to handle. The unique architecture of SaveTax allows it to robustly manage these activities for our clients, including blue-chip banks such as Union Banque Privée, Société Générale Private Bank, and ABN AMRO. Through......

relevant regions
New York, NY, United States

Spark Platform

Spark Lite An entry-level Order, E-Trading, P&L and Position Management System (OMS/PMS), that can be branded by prime brokers, administrators, outsourced trading desks, etc and distributed to their clients as a value-added service Spark Hedge A full-featured, highly-flexible Order, E-Trading and Position Management system (OMS/PMS), that meets the specific requirements of a Multi-Strategy,......

relevant regions
London, United Kingdom

Sphonic Case Management

Sphonic’s Case Management System is the best way to visualise trends, anti-fraud data, risk management, and AML processes. It’s the visual console of Sphonic’s Workflow Manager and the control centre for your fraud and risk teams. Say goodbye to tedious case lists Sphonic’s Case Management System is built on top of Workflow......

relevant regions
London, United Kingdom

Sphonic Workflow Manager

Build a complete digital picture Say hello to genuine customers New regulations and the digitization of financial processes make it challenging to verify that clients are whom they say they are. Our Workflow Manager helps compliance teams build a complete digital picture of each customer and fast-track customer onboarding in a matter of......

relevant regions
London, United Kingdom

Stay Private

StayPrivate ensures safe and secure 2-way communication between businesses and external contacts. Our plug-and-play solution is compatible with all email accounts, making it incredibly easy to encrypt emails and share files securely With click-and-PIN access, TLS connections, AES-256 encryption and multi-factor authentication, StayPrivate enables companies of any size to send and receive......

relevant regions
Toronto, ON, Canada

SupervisionXPRESS

...

relevant regions
Hoboken, NJ, United States

Suspicious Activity Monitoring

Your firm faces costly and stringent global regulatory requirements for transaction monitoring and reporting on suspicious activity that may be related to money laundering and terrorist financing.  While remaining compliant, you must avoid incurring high costs to respond as new rules and guidelines arise in a quickly evolving regulatory and......

relevant regions
Zurich, Switzerland

SwissComply Approval Procedures

The challenge Like the Collective Investment Schemes Act (CISA), the new Financial Institutions Act (FinIA) also provides for an approval requirement. While the CISA regulates the approval requirements for asset managers of collective investment schemes (asset managers), the FinIA defines the approval requirements for all independent asset managers. When applying for a......

relevant regions
Zurich, Switzerland

SwissComply vFinSA/FinIA implementation

Where we stand as of today With the Financial Services Act (FinSA) and the Financial Institutions Act (FinIA), the last two building blocks of modernized Swiss financial market law will enter into force in 2020. The FinSA creates uniform conditions for all financial service providers operating in Switzerland, in that – regardless......

relevant regions
London, United Kingdom

Synapse

CRM systems have three major problems: the data is on the whole incorrect or incomplete, they are reliant on manual inputs and they disrupt the front office. One top tier CRM provider stated that 91% of their CRM data is incomplete and 70% of that data becomes obsolete within a year. This problem is only getting worse as workforces become increasingly mobile and operate off a variety......

relevant regions
Whiteley, United Kingdom

Synaptic Product & Fund

Synaptic Product & Fund Research is the original automated product and fund research tool, built to replace the paper-based tables that were commonplace in the industry in bygone ages. Ever since, Synaptic Software has compiled and distributed financial product information within an application that is recognised for its ease of......

relevant regions
London, United Kingdom

TAINA for Digital Financial Institutions

Why is TAINA different? Key value drivers for digital financial institutions Mobile and online journeys enable consistent compliance at scale Smart, collapsing questionnaires and pre-population where appropriate minimises friction. Questionnaires help you achieve compliance without burdening customers with traditional form formats CRM integration enables validation checks against books and records data Use of public information enables......

relevant regions
London, United Kingdom

TAINA for Fund Administrators, Share Transfer Agents and Managed Service Providers

Why is TAINA different? Key value drivers of TAINA for fund administrators and managed service providers Demonstrate compliance with a fully automated robust process and a transparent up-to-date rule set Automatically validates all forms in complex IMY structures and auto builds the IMY tree based on the excel allocation statement uploaded together with......

relevant regions
London, United Kingdom

TAINA for Traditional Financial Institutions

Why is TAINA different? Key value drivers for your financial institution Demonstrate compliance with a fully automated robust process and a transparent up-to-date rule set Performs validation for the different tax regimes (FATCA, Chapter 3, CRS) in the same module, at the same time, with the appropriate business rules activated at the click......

relevant regions
Hong Kong, Hong Kong

The KYC App

Know Your Customer's mobile app simplifies and accelerates identity verification for individuals and corporate customers. Using cutting-edge cyber-security technology and international AML databases as well as local micro data-sources our solutions provide your compliance staff the right tools to achieve the highest standards of KYC verification with increased staff efficiency......

relevant regions
London, United Kingdom

The VSmart Surveillance Portal

Your window into user behaviour. Introducing the VSmart Surveillance Portal, the cornerstone of your mobile compliance strategy. Communications are presented clearly on our intuitive, user friendly desktop interface. Administrators can easily analyse communications from dashboard widgets or investigate isolated conversations. Features Our advanced mobile surveillance portal is designed for administrators and compliance teams to dive deeper......

relevant regions
Jamberoo NSW, Australia

TierDrop

A choice of industry recognised calculation algorithms are available to DFMs, advisers and platforms, including Simple Dietz, Modified Dietz, the ESMA suggested method and the highly accurate Internal Rate of Return (IRR)....

relevant regions
San Francisco, CA, United States

Token PSD2 Compliance

Token PSD2 is a SaaS solution addressing the difficult and mundane tasks of compliance while allowing banks to focus on new open banking opportunities. It is the only solution that fully meets PSD2 requirements, including the Regulatory Technical Standards (RTS) for Strong Customer Authentication (SCA) and common and secure open standards of communication. Benefits Token PSD2 is......

relevant regions
Burlingame CA, United States

Tora Order Execution Management System

The benefits of our OEMS product TORA’s OEMS delivers exactly the features you need, and none of what you don’t. Need allocations or rebalancing? Great, it’s there. But if you don’t, all of these features can disappear from your workflow so you can focus on what’s important for your firm. Execution management Access......

relevant regions
New York, NY, United States

TradeChannel

TradeChannel is a multi-regulatory platform that seamlessly integrates with your source systems, giving you the flexibility to adapt so you can mitigate change management from ESMA, TR, ARM or NCA over time. Regulatory transaction reporting TradeChannel extracts, normalizes and consolidates transactional data from your source systems and enriches it with reference and......

relevant regions
New York, NY, United States

TradeSentry

Get complete transparency into the trading activities of your Firm with TradeSentry. Offered as a cloud-based solution, Sentry connects directly to client trading systems, providing compliance analysts and traders with timely compliance alerts, risk management workflow tools, and post-trade compliance risk reporting. Consolidated, enterprise-wide trade capture across all asset classes with......

relevant regions
New York, NY, United States

Trax® Reporting Services

Whether you’re in the front-, middle- or back-office, on the buy-side or the sell-side, complex changes in regulatory obligations—CSDR, SFTR, MiFID II, EMIR and more—are creating unique challenges. Now, you can use our advanced, comprehensive suite of reporting solutions to reduce operational risk and improve systemic controls.  Automating and streamlining your......

relevant regions
Ottawa, Canada

VigilantCS

Securities firms Compliance is a particular challenge for smaller firms, such as boutique dealers and specialized portfolio managers. The VigilantCS platform enables you to focus on your core business by providing your Chief Compliance Officer or external consultants an efficient solution for the automation of routine tasks. Mid-sized wealth managers The competitive landscape and regulatory......

relevant regions
New York City, United States

Virtu Workflow Technology

Triton execution management system Triton EMS is a global, broker-neutral, multi asset-class platform that combines Virtu’s cutting-edge liquidity, execution, analytics and workflow solutions into one unified and customizable execution interface. Workflow solutions ITG Net ITG Net is our global, broker-neutral financial communications network that provides secure, fully supported connectivity between buy-side and sell-side firms......

relevant regions
Edinburgh, United Kingdom

Visible Capital

Compliance Visible Capital’s platform allows you to demonstrate compliance for current and evolving regulatory requirements. Speed of processing Customer fact-find process is 100% automated. Improved customer engagement Visible Capital’s digital wealth assessment reports open up new conversations with clients. Cost savings Save up to 30 hours of paperwork and customer contact. Accuracy and insights Rich transactional data reports......

relevant regions
Irvine, CA, United States

VMS Hub

Although mutual funds have been an investment option for decades, the lack of standardization across mutual fund companies continues to plague the systems expected to support them. Legacy platforms were designed to support the standardized trading and settlement of equities through a single depository, the Depository Trust Company (DTC). Requiring these......

relevant regions
London, United Kingdom

VSmart - Voice recording for iPhone

Implementing a mobile recording solution that works across a mixed device estate can be a tricky decision to make. We’ve developed mobile voice recording on iPhone to accommodate for your firm's device preference. Features: Call recording Our state-of-the-art technology ensures recordings are clear and uninterrupted. Dual numbers Switch seamlessly between your personal number and your compliant......

relevant regions
London, United Kingdom

VSmart - Voice & SMS recording on Android

Introducing the pinnacle of mobile voice recording. VSmart for Android is tried, tested and trusted by leading financial institutions, globally. “Using VSmart allows us to deploy one solution across the globe regardless of the regulatory requirements in each region. For a bank of our size, that’s incredibly powerful” Canadian Tier 1 Bank Features: Call recording Our state-of-the-art......

relevant regions
London, United Kingdom

VSmart - WhatsApp and WeChat capture

Communicate with your clients over WhatsApp and WeChat. VSmart captures your instant messenger communications in real-time and accounts for every message sent and received. Features Real-time capture All WhatsApp and WeChat communications are captured instantly in real-time, ensuring that messages are accounted for, even if they are deleted after being sent. Participate in group chats There is......

relevant regions
Sussex, United Kingdom

WatchlistAssist

Speak to us about our potential match review service. Our analysts will provide an additional level of filtering, with clients seeing up to a 95% resolution of potential matches....

relevant regions
Sussex, United Kingdom

WatchlistGuard

Complying with the requirement to screen for sanctions and PEPs is not optional, but the solution you choose is. Designed for quick implementation and minimal impact, WatchlistGuard provides an exceptional yet cost-effective solution. Flexible matching Screen your data the way you want to. Configure the matching to your needs, choose from an......

relevant regions
Alpharetta, GA, United States

Watchlist Screening

In simpler times, watchlist screening involved little more than comparing records with names on a list. Today, it's not as simple. We provide a holistic, end-to-end approach to watchlist screening that includes not just upfront screening, but ongoing automated screening of customer records and financial transactions, along with a highly......

relevant regions
London, United Kingdom

WDX Manage

WDX Manage reduces administrative tasks and enables advisors to manage relationships from a single location as well as providing a 360º view of all clients, contacts, accounts and households. Build and maintain insightful and responsive client relationships with a comprehensive view of your clients, whilst maintaining compliance standards and helping to......

relevant regions
London, United Kingdom

WealthInsight Diligence

Global banks, insurers and credit agencies are increasingly demanding that customers provide detailed due diligence to verify their  integrity. WealthInsight’s research capabilities extend to this progressively more important area for the wealth management sector. Using open source information from reputable sources our analysts undertake rigorous research to gather details of HNW and......

relevant regions
New York, NY, United States

Wealth-X Diligence

  Our expert global research team helps you close the gaps in your compliance approach, including a comprehensive analyses of a client’s net worth and source of wealth, and identifying whether it has been accumulated legitimately. Avoid reputational damage With increasing regulation and trends toward greater transparency, understanding source of wealth is a......

relevant regions
Petah Tikva, Israel

WhatsApp Archiver

Capture and archive WhatsApp messages App on iOS or Android phone that looks and works exactly like the standard WhatsApp application Captures all messages including text, multimedia communication and files The App forwards a copy to the TeleMessage backend server for archiving   ...

relevant regions
Toronto, ON, Canada

World-Check

Thomson Reuters World-Check risk intelligence data can be accessed using purpose built screening platforms, APIs and selected partner software.   World-Check data supports our clients’ due diligence obligations in the fight against financial crime, bribery, and corruption, human rights crimes and environmental crime. World-Check appreciates the data protection and privacy implications of providing this......

relevant regions
London, United Kingdom

World-Check Risk Intelligence

Why choose World-Check Risk Intelligence? Help meet your regulatory obligations, make informed decisions, and prevent your business being used to launder the proceeds of financial crime or associated with corrupt practices. The World-Check Risk Intelligence database delivers accurate and reliable information to help you make informed decisions. It has hundreds of specialist researchers......

relevant regions
Alpharetta, GA, United States

WorldCompliance™ Data

By providing customized access to comprehensive and current sanctions data, WorldCompliance Data enables your business to synchronize screening and successfully navigate continuously shifting sanctions, compliance and anti-bribery requirements. Protect your business with customized due diligence perspective and streamline transaction workflows with WorldCompliance Data....

relevant regions
Alpharetta, GA, United States

WorldCompliance™ Online Search Tool

LexisNexis WorldCompliance™ Online Search Tool facilitates faster screening and deeper enhanced due diligence by delivering access to one of the industry’s most extensive identity databases. This tool enables your business to leverage immediate, up-to-date coverage of sanctions, PEP and negative news profiles for over 1.8 million individuals and companies in more......

relevant regions
Dallas, TX, United States

Zix for Financial Services

Transform a potential liability into a relationship and revenue generator.  Reduce data loss & risk Cybercriminals continue to focus where the money is. At Internet speed, customer lifetime value and cross-sell can disappear. Zix can help financial services CISOs reduce risk of data loss, align with the Gramm-Leach-Bliley Act, enhance customer loyalty and......

relevant regions
Zurich, Switzerland

ZOA

Regulators and consumers are demanding greater protection for personal data. In the European Union, a new regulatory environment begins in May 2018 with the EU’s new General Data Protection Regulation (GDPR). ZOA is our platform for companies to meet this challenge. ZOA also gives individuals greater transparency and control over their......

relevant regions

Knowledge Resources

Keep up-to-date with the most dedicated resource for wealth managers which includes relevant news, developments and industry trends.