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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 Solutions565
- Solution Providers343
- Knowledge Resources353
Featured Solutions
Zurich, Switzerland
Embedded Compliance
Embedded compliance is defined as the ability to provide instant answers to regulatory questions when and where they are needed—fully integrated into financial institutions' existing infrastructure. Embedded compliance works by unifying regulatory knowledge so it can be processed from a single repository, structuring it so it can be used in any......
Client type
Relevant Regions
Sydney, NSW, Australia
AML Accelerate
Money laundering and terrorism financing laws apply to millions of organisations of all sizes across different industry sectors and geographies. Complying with increasing regulations can be complex and costly…until now. AML Accelerate simplifies the AML risk assessment process in 5 steps which can lead to saving time and resources spent......
Client type
- Asset Managers
- Bank Wealth Managers
- Brokers/Broker-Dealers
- Digital Wealth Manager
- End Private Clients
- Family Offices
- Financial Advisors
Relevant Regions
Los Angeles, CA, United States
Docupace Client Onboarding
Opening and maintaining accounts requires filling out a lot of paperwork with a ton of repeated information. It’s a lengthy process, and every error makes it longer. What if you could eliminate errors and delays from your new business workflows? With Docupace, you can shrink processing times from days to minutes.......
Client type
Relevant Regions
Budapest, Hungary
Wealth Portal
The Wealth Portal is not only an online portal through which clients can check all the information and data of the composition and performance of their investment portfolio, but also a platform for digital communication. The portal is available as a native iOS and Android mobile app or in a......
Client type
Relevant Regions
London, United Kingdom
FS:Insight
Does your organisation have data 'trapped' in contracts, prospectuses, KIIDs, factsheets or any other documents? Do you have to manually check data prior to publication of regulatory documents? Are you certain that your data is consistent across all RFPs / sales & marketing materials? FS:Insight from FundSense extracts any data, tables......
Client type
Relevant Regions
Geneva, Switzerland
InvestGlass
Fintech friendly CRM built for banks, asset managers, remote workers and much more. Sell faster. Close more deals. InvestGlass offers the industry's leading integrated wealth advisor platform. Before any client interaction, wealth advisors check on their customised InvestGlass platform for recommendations. InvestGlass is not an investment advisor, broker or dealer and......
Client type
- Asset Managers
- Bank Wealth Managers
- Brokers/Broker-Dealers
- Digital Wealth Manager
- Family Offices
- Financial Advisors
Relevant Regions
London, United Kingdom
ReportShield™ Quality Assurance Services
Kaizen’s ReportShield™ quality assurance services combine regulatory expertise and advanced technology to act as a shield against reporting issues. Developed by former regulators and industry experts, they provide the controls you need to meet your regulatory obligations and manage your reporting risks. Accuracy Testing Utilising Kaizen’s multi-dimensional testing methodology, Accuracy Testing fully......
Client type
Relevant Regions
Cupertino, CA, United States
The Moxo Secure Message Center Solution
Completely configurable Moxtra’s SMC can be configured to the workflow needs of business across a variety of industries. Today, the SMC powers customer engagement and collaboration in the retail banking, wealth management, and insurance verticals for several financial institutions around the world. Deployment is flexible with hybrid, private cloud and on-premise......
Client type
- Asset Managers
- Bank Wealth Managers
- Brokers/Broker-Dealers
- Digital Wealth Manager
- Family Offices
- Financial Advisors
Relevant Regions
New York, NY, United States
MCO Know Your Transactions (KYT)
Risk becomes especially sensitive when it originates from within the core trading operations of the firm, that very place from which your reputation and your bottom line is built. Address deal review management, MAR and trade compliance with the comprehensive tools in our KYT suite. Trade surveillance Tracks firm/client and employee trading......
Client type
Relevant Regions
London, United Kingdom
Advisor Compensation & Audit
As part of ObjectwayPlatform, Advisor Compensation & Audit is the revenue and compensation engine to manage relations with sales force and intermediaries concerning pay-in & pay-out calculation, fees, commissions and incentives. The application includes monitoring and interception of potential irregularities in sales organisation that could bring operational risks, financial losses and......
Client type
Relevant Regions
London, United Kingdom
Alternative Fund Administration
As part of ObjectwayPlatform, the Alternative Fund Administration process is where Alternative Investments meets administrative, operational and regulatory requirements in the alternative fund management such as real estate funds, private equity and hedge funds with a unique, flexible and user-friendly solution, in line with regulatory requirements. The platform offers functional coverage......
Client type
Relevant Regions
London, United Kingdom
BPaaS
We provide Wealth and Asset Managers with tailor made Business Process as a Service that increases the efficiency of their operations based on our software solutions, know-how, experience and end-to-end delivery capabilities. Objectwayexpertise covers the management needs of every type of service and investment. Delivery takes place with a 360° vision......
Client type
Relevant Regions
London, United Kingdom
Core Banking Operations
As part of ObjectwayPlatform, Core Banking Operations consists of a complete set of interoperable yet independent modules supporting the full spectrum of services offered today by a modern private bank, covering securities management services, cash & payments, FX & treasury and credits & loans. All supported with straight through processing automation,......
Client type
Relevant Regions
London, United Kingdom
Investment Advisory
As part of Objectway Platform, Investment Advisory is an integrated and customisable software platform enabling wealth management institutions to set up a client centric advisory process. Augmented intelligence and human governance are blended to achieve higher levels of efficiency and increase customer base, thanks to a quick generation of optimised......
Client type
Relevant Regions
London, United Kingdom
Securities & Back Office
As part of ObjectwayPlatform, Securities Back-Office is a multi-currency, multi-entity securities back-office solution that assures the fluid cooperation of all actors in a financial services firm. Securities Back-Office offers full control of cash and securities management, with an overview of account balances and expected movements. It automates post-negotiation activities such as......
Client type
Relevant Regions
Toronto, ON, Canada
SideDrawer
You have more stuff than you think. It can be daunting to organize all your financial documents, assets, identity and important everyday life documents. Thinking about how to securely store and share your information, track who it is shared with, and trying to gather and manage all your information from......
Client type
- Asset Managers
- Bank Wealth Managers
- Brokers/Broker-Dealers
- Digital Wealth Manager
- End Private Clients
- Family Offices
- Financial Advisors
Relevant Regions
Zurich, Switzerland
ESG Data
Fighting climate change is one of the most important goals on the global political agenda, with social and governance factors also being hot topics. This has instigated a global shift in the financial sector towards sustainable investment strategies, and the choice for future-oriented investors is expected to keep on growing.......
Client type
- Asset Managers
- Bank Wealth Managers
- Brokers/Broker-Dealers
- Digital Wealth Manager
- Family Offices
- Financial Advisors
Relevant Regions
Zurich, Switzerland
Sanctioned Securities Monitoring Service
The Sanctioned Securities Monitoring Service from SIX brings together a wealth of securities information, plus analysis of sanctioned entities and sanctions regimes for pre- and post-trade screening. In addition to a daily scrubbed list of tainted entities, SIX experts detail changes to corporate structures and other events that may bring......
Client type
- Asset Managers
- Bank Wealth Managers
- Brokers/Broker-Dealers
- Digital Wealth Manager
- Family Offices
- Financial Advisors
Relevant Regions
Boulder, CO, United States
TIFIN Risk
TIFIN Risk is part of TIFIN Grow, which helps wealth managers augment their businesses through personalization at scale. TIFIN Grow empowers advisors to understand their clients’ and prospects’ fears, needs, and wants through risk, planning, and personality assessments. Advisors may complement TIFIN Risk with TIFIN Grow’s Personality and Plan platforms to......
Client type
Relevant Regions
Zurich, Switzerland
ti&m Digital Onboarding
Be ready whenever your users are. Create a frictionless, user-centric onboarding experience. Accessible any time of day with instant verification thanks to our AI-driven onboarding and identification solution. ...
Client type
- Asset Managers
- Bank Wealth Managers
- Brokers/Broker-Dealers
- Digital Wealth Manager
- Family Offices
- Financial Advisors
Relevant Regions
Royal Leamington Spa, United Kingdom
Turo
Fully configurable to your in-house advice policy, Turo has a wide range of capabilities. At its entry-level, Turo offers an automated, chat-bot powered financial health check that determines how much the user needs to save per month to reach their savings and retirement income goals. At its advanced level, Turo can......
Client type
- Asset Managers
- Bank Wealth Managers
- Brokers/Broker-Dealers
- Digital Wealth Manager
- Financial Advisors
Relevant Regions
All Solutions
Frankfurt, Germany
acarda Platform
The acarda Platform offers you automated report generation through a central, modular platform calculation of risk, performance, costs and sustainability control, validation and mapping of core, NAV, market, account and cost data plus stocks and transactions best practice use of market standards one central dashboard for all regulations; fully transparent data, status, calculations and reports a user-friendly client......
relevant regions
Milton Keynes, United Kingdom
accord
The Senior Managers and Certification Regime (SM&CR) ensures that senior managers are individually accountable for their business decisions, their conduct and the competence of those that they manage. Consumers will be secure in the integrity this brings as SM&CR means that every regulated entity must have a well-documented trail of......
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
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......
New York, NY, United States
Adept Platform
Navigate rapidly evolving regulations Adept operationalizes laws, rules, and policies to advance compliance within existing systems. Droit continuously monitors regulatory and policy changes, updating its platform with each regulatory change or new interpretation. Act right with confidence The Adept platform provides clients with the consensus view as to how rules and regulations are......
relevant regions
Washington, DC, United States
Adlumin Platform
Platform Fundamentals Adlumin’s platform is based on three fundamental tenants including cost efficiency, ease-of-use, and simple integration. Using a cloud native, serverless architecture, Adlumin can control the resource-to-performance requirements for customers—a huge cost benefit for customers. Our security analytics platform uses artificial intelligence and machine learning to write its own rules,......
relevant regions
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
Windsor, CT, United States
Advent Rules Manager
Turn trading policies into automated processes Advent Rules Manager is a comprehensive solution for pre- and post-trading compliance, eliminating manual labor and improving accuracy. Working together with Advent’s Moxy trade order management system, Advent Rules Manager allows you to implement the proactive controls demanded by regulators, manage your clients’ complex restrictions, and improve......
relevant regions
Sydney, NSW, Australia
Advice Revolution
Advice Revolution empowers you to manage your whole fact finding process efficiently, freeing up time to focus on clients and grow your financial advice business. How it works Client self service Invite your clients to enter data before or after meetings on any device. Capture your conversations Continue your fact finding with a range of......
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....
London, United Kingdom
AFC SUITE
Our software provides a 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
Sydney, NSW, Australia
After-Tax Benchmarks and Analytics
Building on Australian and global benchmarks from leading providers with our unique tax expertise, GBST's solution transforms pre-tax benchmarks and portfolio results into post-tax benchmarks and portfolio outcomes. This ensures your reporting considers the benefit of the franking credit uplift and the impact of Capital Gains Tax (CGT), both on......
relevant regions
Kaiserslautern, Germany
Aircloak Insights
Aircloak Insights is a transparent proxy sitting between analysts and the sensitive data they need to work with. Analysts query the system like normal, using SQL or dashboards like Tableau. Aircloak Insights intercepts the query and tailors it to the data backend which may be SQL or a NoSQL big......
relevant regions
Paris, France
AirWealth
Enable team collaboration on a single platform We adapt our platform to cope with your teams’ needs and manage all information and activities about your private clients. Marketing & sales Relationship manager Compliance Communication Intelligent task management Obtain clients Insights from behaviour analysis and from historical and external data analysis (database, public website, social network). Help your relationship......
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......
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......
London, United Kingdom
AML Platform
AML Platform features AML risk reports for full compliance Within seconds get an in-depth understanding with 270 risk checks and data points ranging from financial crime to counterparty identity. Check every transaction with our standard reports and use enhanced reports in case you need to understand more. Real-time cryptocurrency monitoring Identify behavioural changes, get......
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
Acton, MA, United States
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 for Asset Managers
Increasing regulatory complexity combined with an increasing focus on value for money presents a major challenge for the asset management industry. Apiax gives asset managers answers to regulatory questions at the touch of a button, helping them to distribute products globally and at lower costs. We enable asset managers to focus on......
relevant regions
Zurich, Switzerland
Apiax for Customer Relationship Managers
Fragmented, inaccessible regulatory compliance knowledge prevents relationship managers from providing better client onboarding experiences, understanding regulatory restrictions for servicing clients and avoiding error-prone post-activity compliance monitoring. Apiax flags regulatory implications for relationship managers right in their CRMs, enabling fast and controlled processes that improve client experience....
relevant regions
Zurich, Switzerland
Apiax for FinTechs
An increasing number of regulations are putting the brakes on FinTechs' ambitious growth plans and preventing them from realising their visions. Apiax provides instant answers to the most complex regulatory questions, enabling FinTechs to scale globally while keeping costs low and avoiding risk. We enable FinTechs to focus on what’s important: Scale globally Understand......
relevant regions
Zurich, Switzerland
Apiax for Investment Managers
Fragmented, inaccessible compliance knowledge prevents investment managers from ensuring suitability of investment recommendations, avoiding tax-harmful investments and understanding restrictions when clients are abroad. Apiax provides investment managers with regulatory and tax insights right in the tools they already use, enabling them to respond faster to customer needs and market developments while......
relevant regions
Zurich, Switzerland
Apiax for Wealth Managers
A growing number of regulations discourage financial institutions from doing business globally and increase costs and risks for ambitious wealth managers. Apiax provides answers to wealth managers' most pressing regulatory questions, enabling them to realise more business opportunities, while keeping costs low and risks under control....
relevant regions
Darlington, United Kingdom
Apricity
Whatever your existing compliance solution, we can help you take it to the next level. Another way in which we think we’re a bit different is our transparency over fees. Coupled with our aim to help you embed compliance, and then step back to allow you to take ownership, 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.......
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
Melbourne, VIC, Australia
Arcadia
Simplify Manage compliance and coordinate key stakeholders in one place. Say goodbye to the endless spreadsheets, emails, and headaches. Inform We monitor operational metrics to ensure that our services are delivered at a high quality and in accordance with service level objectives. Be confident With everything in one place, our platform is designed to create......
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......
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......
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......
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
Sydney, NSW, Australia
ArmorVox Core Engine
Auraya's Core Engine ArmorVox is the next generation voice biometric engine developed by Auraya that provides a full suite of voice biometric capabilities in telephony and digital channels. ArmorVox helps streamline and improve customer experience and information security. It can be securely deployed via the cloud or through an on-premise deployment.......
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
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......
Chicago, IL, United States
Ascent
Targeted obligations? Yes. Automated change management? Yes. Mapping to your controls and policies? Yes. But beyond groundbreaking capabilities, Ascent uses AI to solve your real problem — reducing your regulatory and reputational risk, without the eye-boggling costs. Your obligations, automatically generated Targeted to your firm Ascent filters out regulatory white noise, getting you......
relevant regions
Birmingham, United Kingdom
AssetQ
AssetQ puts essential fund information at your finger tips enabling consistent, repeatable fund analysis on every fund. AssetQ gives you all the information needed to form your opinion, record your assessment and maintain an audit record of your due diligence – ease your funds research. What is AssetQ? sigMacity’s AssetQ product has......
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......
Durham, United Kingdom
ATEB Compliance
Fully customisable The ATEB suitability ‘Tool’ allows the user to customise the report production, prompts and customer facing output to an unsurpassed level. Compliance approved You can be reassured that the content and format has been very carefully considered & researched by a ‘Section 166' FCA approved compliance firm. Great end user experience No installation,......
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
Stockholm, Sweden
Atlas
The single version of truth Sharing is caring Both for customers and compliance departments. Your customers are front and center with full control over whom they share their data with on the ecosystem. Version control Means one KYC file per customer. Atlas maintains one version of truth per customer within your organization, ensuring that......
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......
Edinburgh, United Kingdom
Aveni Platform
Make your advisers superhuman Wrap the power of AI around your advisers to enhance client interaction. Release them from low value administration, augment their service with real-time information and provide a second pair of eyes for risk and compliance. Our pipeline of NLP capabilities can be configured for multiple outcomes depending......
relevant regions
Zug, Switzerland
Banking Compliance E-Learning Courses
Individualisation as an option You as financial institution are free in the selection and composition of the online modules. In close collaboration with you, we align the curriculum thoroughly to your individual business situation and requirements. If you wish, we can also add your own specific contents (e.g. own-brand financial products......
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
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
Palo Alto, CA, United States
BitGo Qualified Custody
The gold standard for custody Safeguard your digital assets with our qualified, insured cold storage custody at BitGo Trust Company—a regulated Trust Company under the Division of Banking in South Dakota. Cold storage assets are held in segregated accounts, insured and secured by BitGo’s battle-tested and peer-reviewed multi-signature security. Clients receive......
relevant regions
Knoxville, TN, United States
Bitsy
Bitsy is a technology company that builds enrollment/compliance centric software for financial advisors. Firms of every size—from new startups to wirehouses—use our software to quickly enroll new clients and improve their compliance online. The Potential of the Online Advisor Businesses are growing faster online than anywhere else, yet only 3% of global......
Amsterdam, Netherlands
Blanco KYC & Compliance Suite for wealth managers
At Blanco, we’re developing financial technology with humans in mind. That’s why we’ve come up with a client data management solution that focuses on an ultimate user experience: our KYC & Compliance Suite automates client data collection, storage and management for you. Being compliant to KYC rules and regulations on......
relevant regions
Evanston, IL, 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,......
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......
Kirkland, WA, United States
BOC Compliance
Our Compliance Support is administrative in nature. The SEC will not allow an advisor to outsource its CCO position and in most small to mid sized firms, the CCO wears multiple hats. Our services enable the CCO to function at a supervisory level, providing them the skilled assistance they need. Back......
Paris, France
Brain
DreamQuark provide bank and insurance sales and customer engagement teams with AI based recommendations that generate new sales opportunities and engage better customers. Financial services business teams trust DreamQuark Explainable AI to increase their revenues. They use our software Brain to train, control and deploy AI at large scale in their organizations......
Vienna, Austria
BREX
Power your compliance processes BREX enables you to fully automate the retrieval of company data from commercial registers worldwide for your KYC, AML and enhanced due diligence (EDD) processes. Or to prefill your internal CRM or ERP system with company vitals to ensure up to date and correct information in your......
relevant regions
San Francisco, CA, United States
Brighterion
Model-based AI technology that’s personalized for your unique business While our competitors use a selection of legacy database-driven technologies, only Brighterion’s Smart Agents bring a powerful, distributed file system specifically designed to store knowledge and behaviors. This distributed architecture allows lightning speed response times (less than 10 milliseconds) on entry-level servers......
relevant regions
Sao Paulo, Brazil
BRITech Risk Evaluation
Risk and Compliance, the solution to the pre- and the pos-trade compliance, creating the specific compliance checks and risk management checks against individual client portfolios or funds under management. These checks can be running continuously and allow you to stay compliant and demonstrate your compliance to regulators and auditors. ...
relevant regions
Bordeux, France
Brokers Offer
Simply diversify your business Support and retain your customers by offering suitable financial investments. Elwin guides you step by step to find a suitable investment, in compliance with the regulations. Enhance your customer portfolio Support your clients in the long term, in their real estate and investment projects Capitalize on the bond of trust you......
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......
Hong Kong, China
Build your Own
World-leading fintechs, banks, corporate services providers and other regulated organisations worldwide have already designed and implemented bespoke KYC and KYB processes for their business with our modular compliance solution. Let us show you how easy it is to combine our KYC modules to create the compliance solution that perfectly fits your......
relevant regions
New York, NY, United States
CAIS IQ
CAIS IQ seeks to build knowledge with courses ranging from alternative asset classes, to financial market thematics, to funds and solutions....
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
London, United Kingdom
Capnovum
Capnovum’s cognitive compliance management platform provides an up-to-date repository of regulations, obligations and regulatory news; that lets financial institutions manage compliance and resource utilisation across jurisdictions. Artificial intelligence is leveraged to understand and identify synergies between regulations, assess the footprint of business models and impact of regulatory updates. Capnovum eliminates manual work......
relevant regions
London, United Kingdom
Cappitech Platform
Our Benefits Innovative, Flexible Technology - Scalable, SaaS solution. We handle big data and efficiently automate regulatory reporting. Some of our clients report volumes as high as 10m transactions daily. Single Reporting Hub - One point of contact for multiple jurisdictions, monitoring, contracts and billing. Remain Informed - Our intuitive, user-friendly dashboard gives you the......
relevant regions
London, United Kingdom
Capture
Hey WhatsApp, can WeChat...? Instant Messages, instantly captured. Ensure compliance while accessing global markets from your fingertips Join leading financial institutions across the globe who are doing business over WhatsApp and WeChat. Equip your workforce with the tools required to access emerging markets, connect with new customers and increase revenue opportunities, all while avoiding......
relevant regions
Portland, OR, United States
Capture
Enable communications governance on the latest channels Today’s workers are adopting new communications tools every day. Smarsh is the only capture provider that supports 80+ channels out of the box, including the most popular email, mobile, social, IM & collaboration, video and voice tools used today. And we help you keep......
relevant regions
London, United Kingdom
causaLens Platform for Banking
With Causal AI, banks can build explainable models that unlock the potential in their data, empowering them to be more efficient and flexible. The regulatory landscape We understand the time, effort and scrutiny required for models to be deployed within large financial institutions. With causaLens, model developers can spend less time writing......
relevant regions
London, United Kingdom
Cerberus
Simple, intuitive and logical to use, Cerberus is our solution for the SMCR: Delegation and oversight –clearly shows what responsibilities individuals have accepted, evidence of meeting those responsibilities and when they have been met; Governance–shows overall governance committee structure and management responsibilities map; Evidence–demonstrates how reasonable steps and statutory responsibilities are being met (allows inclusion of attachments and commentary); Assurance–built in activity log......
relevant regions
Mumbai, India
CFO Services for Banking & Financial Institutions
Challenge Multiple changes to regulations, stricter controls over all processes, data availability & data quality have made regulatory compliance for CFOs in BFSI complicated. With constant revenue leakage and cost escalation, optimizing balance sheets and costs to maximize net income and operating ratio is the need of the hour, added to......
relevant regions
Bordeux, France
CGP Offer
Independent CGP or network of advisers? Refocus on advice and customer relations. Elwin has developed a comprehensive toolkit to reduce the time spent on administrative tasks specific to your business. Our solution Customer knowledge A customer knowledge questionnaire combining ergonomics and regulatory obligations. Find out more An exhaustive collection of customer information to record all the data......
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......
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......
Melbourne, VIC, Australia
Chandler Verify
Chandler Verify is a KYC (Know Your Customer) service that allows organisations to meet their KYC and AML/CTF obligations that can scale and integrate with the required organisational processes. Chandler Verify provides an easy-to-use interface, and speedy integration, that allows for high volume and user-friendly KYC and AML/CTF checks. Chandler......
relevant regions
Milton Keynes, United Kingdom
Checksmart
With the provision of advice and process management becoming increasingly influenced by digital practice, it’s essential that regulated firms respond quickly to rapidly evolving market needs. Making sure that product innovations are sold appropriately or that new processes are correctly followed is equally important and this is achieved by using Checksmart.......
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
Menlo Park, CA, United States
CipherTrace Platform
Cryptocurrency intelligence solutions CipherTrace delivers cryptocurrency AML compliance solutions for some of the largest banks, exchanges, and other financial institutions in the world because of its best-in-class data attribution, analytics, proprietary clustering algorithms, and coverage of 2,000+ cryptocurrency entities—more than any other blockchain analytics company....
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......
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
Regulatory supervisors mandate the need for the ongoing review of customers to assess all clients’ activities and behaviours over time. Fundamental to this is the ability to bring together disparate sets of customer-related data so that there is a ‘single view of the customer’ - not just at a snapshot in......
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
Singapore, Singapore
Client Onboarding & Lifecycle Management
Wealth intelligence's Client Onboarding & Lifecycle Management solution reduces the time and cost of onboarding new clients while remaining compliant for KYC, AML and Suitability regulations: Track your prospect from initial contact through to signing as a client Web based onboarding allows client self service, relationship / investment manager assisted service and remote......
relevant regions
London, United Kingdom
Client Screening
Napier’s Client Screening solution helps financial institutions fulfil compliance obligations with on-going large-scale screening and re-screening capabilities to give significant operational efficiencies. Our solution was developed to address the need for a simple, cost effective screening solution which can scale with a business's policy requirements. Napier’s Client Screening combines best-in-class technology with......
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
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
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......
Teaneck, NJ, United States
Cognizant Middle Office Automation
The middle office is your opportunity to drive process standards, client self-service and automation. Cognizant Middle Office Automation offerings include: Process management Technology assessments and recommendations, including workflow, CRM, case management and document management Robotic process automation (RPA) Assessment of legacy risk and compliance processes to improve client SLAs and overall costs to serve ...
relevant regions
New York, NY, United States
Collibra Data Privacy
CCPA and GDPR compliance Operationalizing data privacy Collibra delivers privacy from a Data Intelligent foundation that centralizes, automates and guides privacy workflows. Privacy by design is embedded into a single platform, enabling teams across departments to collaborate and operationalize privacy. By awakening the value of data, Collibra accelerates an organization’s ability to......
relevant regions
Portland, OR, United States
Communications Intelligence Platform
Maximize the value of your communications data The Smarsh Communications Intelligence Platform is a unified, cloud-native solution designed to future-proof enterprise communications data strategies. Gain new insights using best-in-class technologies, including elastic compute, natural language processing, machine learning and artificial intelligence. Solutions for all your data needs Solutions in the Communications Intelligence Platform......
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......
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
Toronto, ON, Canada
Complete Practice Digitization
Significantly reduce the overhead costs and backend processing costs associated with paper by transforming manual, paper-driven processes into automated, secure, digital processes of the future....
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
Bloomington, MN, United States
Compliance
Now, more than ever, you need a strong technology partner to navigate the new rules and regulations and the rapid pace of change in all aspects of your organization. We continually upgrade our trade surveillance and compliance solutions to ensure our clients remain compliant with the financial industry’s rules and regulations.......
relevant regions
San Francisco, CA, United States
Compliance.ai
Our customers use the Compliance.ai solution to establish a centralized regulatory change management command center and to automate and manage standardized processes for the entire enterprise. 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......
relevant regions
New York, NY, United States
ComplianceAlpha
ComplianceAlpha® helps global financial services firms of all sizes to strengthen and streamline risk and compliance management across the enterprise from a single platform. It helps firms to keep pace with the regulators’ evolving requirements and increasing technological capabilities. Developed by the industry’s largest team of former regulators, financial technologists, and cybersecurity professionals, ComplianceAlpha helps......
Toronto, ON, Canada
Compliance and Audit Readiness
Signifigantly improve compliance across your organization with end-to-end encryption and best-in-class security tools, while reducing audit readiness cycles from 1 week to 1 day....
State College, PA, United States
Compliance Core
Review with confidence Enjoy tools designed to make you a great marketer while meeting every aspect of your regulatory responsibilities. Receive automatic notifications of new changes Gain access to a private website URL and print-friendly documentation Quickly identify content differences with our compare tool Request and approve changes Rest easy knowing that your advisors submitted changes won’t be......
relevant regions
Toronto, ON, Canada
ComplianceExpress
Manage recordkeeping transactions and document delivery from a secure, cloud-based platform. Boost operational efficiencies, reduce costs and stay compliant. Save time and money by sending disclosure documents to clients electronically Be ready for an audit or examination Fast and easy to implement with minimal client IT resources ...
relevant regions
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
Help your compliance department stay on top of promises made to clients by financial advisors. ComplianceIQ allows allocation monitoring, as well as monitoring holdings, performance and other statistics against agreed limits. How it works ComplianceIQ monitors up to 17 different rules, including: Target allocation Restricted securities Concentrated positions Risk and return Quality ratings Portfolio turnover Performance vs benchmark It carries out......
relevant regions
Hamburg, 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 ...
Evanston, IL, 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......
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
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......
New York, NY, United States
ComplySci Platform
The ComplySci Platform is a web-based compliance monitoring solution that tracks employee activities against your firm’s rules and regulations. ComplySci eliminates information silos, streamlines operations, and gives CCOs and compliance teams a holistic view into employee risk. The ComplySci Platform mitigates risks related to: Personal Trading Gifts and Entertainment Political Contributions Outside Business Affiliations Marketing Materials IPOs Private Placements ...
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......
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......
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
West Chester, PA, United States
ControlOps
Promote Accountability. Reduces Risk. Flexible. Secure. 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,......
relevant regions
Stavanger, Norway
Corporater Business Management Platform
Business management does not stop with insights. Companies that face business problems typically try to solve them with various tools. The selected tool might solve a specific problem but often falls short to generate a business impact for the entire organization because of the single benefit it provides. In order......
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......
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......
Greater Montreal, QC, Canada
Croesus Central
Croesus Central is a solution that brings together modeling, automated rebalancing, and compliance management. This new product is characterized by its flexibility and integrates with our portfolio management system Croesus Advisor. It saves a lot of time for any portfolio rebalancing tasks. The following are some of the many benefits of......
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.......
New York, NY, United States
Cross Border
Why the need for Droit’s Cross Border As clients become more mobile and global, advisors need to navigate the latest cross-border rules (often sourced from detailed country manuals) and institution-specific policies to provide the best, most relevant investment opportunities in a timely manner. Additionally, a constantly changing landscape of requirements within the......
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......
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......
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......
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
Belfast, United Kingdom
Datactics Match Engine
The problems Client onboarding and KYC/AML due diligence checks call for timely and accurate matching against reference data. In the UK alone there are approximately 20 business entities containing the name ‘Google’, only a few of which relate to the popular search giant, so it’s vital that any entity match can......
relevant regions
Belfast, United Kingdom
Datactics Self-Service Data Quality Platform
Financial regulations such as BCBS 239, FSCS and FATCA require financial firms to embed data quality management, including data profiling, data provenance (lineage), monitoring, reporting and escalation procedures. But keeping on top of this is hard, and many institutions have existing IT-focused tools that require programming experience and lengthy change......
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......
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
Austin, TX, United States
DataStore
DataStore is the powerful and robust enterprise content management (ECM) system purpose-built for the Financial Services sector. DataStore delivers on what matters most Gain complete control over the capture, indexing, archival, retrieval, accessibility, delivery and retention of every item of business-critical information in your organization, via a secure central repository. Utilize a single......
Mountain View, CA, United States
Datavisor
Advanced capabilities, outstanding performance Achieve quick and quantifiable ROI with easy-to-integrate, highly scalable fraud solutions. Deploy advanced fraud models informed by deep domain expertise, and receive actionable fraud signals in real time, without the need of labels, large data sets, or manual retuning. Go beyond simple anomaly detection to expose and......
relevant regions
Bristol, United Kingdom
DCI Transaction Reporting Reconciler
This onerous and sometimes complex task can now be completed in just a couple of clicks with DCI Transaction Reporting Reconciler. Users can immediately drill down on any reported items to investigate, while DCI Transaction Report Reconciler generates a full audit of the reconciliation run, providing evidence of all reconciling and......
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......
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......
Farnham, United Kingdom
Digi.me
Retail clients benefit from the convenience of smoother customer journeys. Data remains private to the individual with analysis run “on-the edge” without the data leaving the users device. Service providers benefit from digital onboarding, continued automated consumer profiling and KYC updates. A single click of “Private Share with digi.me” replaces lengthy......
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
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
Singapore, Singapore
Digital Wealth Platform Suite
The Digital Wealth Platform employs Artificial Intelligence (AI) and data analytics to enable the identification of more relevant investment opportunities, and leverages RegTech to address compliance in 15 market jurisdictions, removing barriers to investment and ensuring suitability and appropriateness across complex cross border settings. The Digital Wealth Platform has 3 modules; 1.......
relevant regions
Portland, OR, United States
Discovery
Simplify your e-discovery process Identify and preserve relevant content, initiate granular legal holds, conduct first pass review, and export all your electronic communications data on-demand with a discovery solution purpose-built for regulated and litigious organizations. Capture all relevant communications with context Identify, preserve, review, and export all your electronic communications data from 80+......
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
Los Angeles, CA, United States
Docupace Document Management
Document management in the wealth management industry is a challenge. Going paperless is a must, but most cloud-based solutions don’t integrate with financial services software and could leave you open to SEC and FINRA compliance issues. Docupace uses government-grade encryption to help you maintain security and compliance. With Docupace, you can......
relevant regions
Los Angeles, CA, United States
Docupace Platform
The pace of change for financial services industry has accelerated with transformational technologies, increasing levels of competition, privacy issues, document protection, and government regulations. Broker-dealers, RIAs, and financial advisors are developing new business models and engaging with Docupace to increase their operational efficiency, productivity, and profit, while also sustaining audit-risk......
relevant regions
Los Angeles, CA, United States
Docupace Reg BI
Regulation Best Interest (Reg BI) introduces many new requirements for broker-dealers and investment advisors that will affect the way you do business and communicate with your customers. Reg BI is challenging and will inevitably inject a little chaos into the day-to-day operations of the wealth management industry. Docupace’s comprehensive paperless compliance......
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....
Saratoga, 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......
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....
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
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......
Oslo, Norway
eFIRDS by Nordic Trustee
eFIRDS helps you secure you have an updated central database with the latest static data from ESMA, FCA and GLEIF. The scrubbed and mapped data will help you check, verify and complete your regulatory compliance reporting on a daily basis. By using the eFIRDS API customers can retreive vast amounts of......
relevant regions
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
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......
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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......
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......
Toronto, ON, Canada
Enterprise Information Governance
Significantly improve corporate governance with a more secure, compliant, and efficient way to manage corporate records and information by easily organizing all front, middle, and back-office documents in one central location....
Acton, MA, United States
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
Ames, IA , 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......
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London, United Kingdom
Entity Screening
Rapidly load and cleanse external data Automatically cleanse data from internal and external sources to prepare for optimal screening. Our system makes provision for OFAC as well as for watch- and sanction lists from different providers. Build entity screening rules swiftly Our graphical user interface makes it easy to build and configure rules......
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....
Munich, Germany
EQS Compliance COCKPIT
Receive valuable information. EQS Integrity Line, the best-in-class whistleblower system. Flexible and intuitive case management. Clean up policy chaos. Manage and distribute internal policies efficiently and cost-effectively. Check gifts and invitations. Manage gifts, invitations and conflicts of interest centrally in one place. Don’t lose sight of risks. Identify and manage your compliance risks......
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
Geneva, Switzerland
e-Reg
EasyReg has developed our own application called e-Reg which enables users to: Reduce the costs required to implement new regulations Facilitate compliance with applicable regulations Increase regulatory knowledge in the relevant departments Reduce the time spent by employees to maintain regulatory frameworks Simplify collaboration on regulatory topics Mitigate regulatory risks and consequences ...
relevant regions
London, United Kingdom
ERIC
Save yourself time with ERIC Modern, user-friendly system Practical for organisations regardless of size, or regulatory obligations Easy to set up and scale Facilitates embedding the risk and compliance culture Manage compliance activities Manage your compliance monitoring plan Manage statutory approvals Schedule and manage policy reviews and attestation Map regulations to risks and controls Risk management Link risks and controls to......
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
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
Sydney, NSW, Australia
EVA for Amazon Connect
Traditional verification methods are now outdated Current verification methods such as PINs, passwords, knowledge-based questions and one-time passcodes have become insecure and unreliable. Forgetting passwords and knowledge-based answers as well as switching applications to access one-time passcodes can often result in inefficient and cumbersome customer experience. These traditional verification methods have......
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......
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......
United Kingdom, United Kingdom
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. ...
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......
Stockholm, Sweden
Fides
An ecosystem that works for everyone Customer centricity and control Your customers are front and center with full control over whom they share their data with on the ecosystem, and always with the ability to revoke data access. Integration with integrity Fides integrates seamlessly with existing back office and CRM systems, allowing maximum coverage......
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
Sydney, NSW, Australia
FileBound
Provide quality advice for a fraction of the cost Provide quality financial advice quicker and more cost-effectively as FileBound enables your team to work faster and smarter. Easily build automated workflows that help your team collaborate, manage tasks, track jobs through to completion and access automatic compliance reporting. FileBound’s intuitive interface......
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
Vinon-sur-Verdon, France
Financial Education
1) Immersive and gamified interface. 2) 13 asset classes are offered by default. 3) 100% customizable. In standalone or integrated to your IT system. 4) Can be used integrated in our MiFID II questionnaire or in standalone. 5) In line with MIFID II requirements about financial knowledge assessment. ...
relevant regions
Singapore, Singapore
FinChat
Compliance for WhatsApp, WeChat, Line chat, Telegram, Viber & more instant messengers Pioneers in enabling compliance monitoring, chat archival & chatbots for popular messaging apps in regulated enterprises legally. FinChat solutions are based on official APIs of instant messengers & use legal means for compliance & analytics. Employees can now engage clients......
relevant regions
Zurich, Switzerland
Find a Good Accountant for a Swiss Startup Company or SME
In Switzerland, every company must engage in financial accounting ("Buchhaltung"), keep (digital or paperless) records of all its business transactions for a period of 10 years, and submit to its management within six months of the end of the previous year an annual report ("Jahresrechnung") consisting of the Swiss company's......
relevant regions
Bern, Switzerland
Finform
Finform offers standardized and digitized compliance services for banks and other financial institutions. The optimal interaction of software and services ensures efficient processes. Complex cases that cannot be processed automatically by the Finform application are handled by specialists in real time . There is no need for downstream audit processes. The......
relevant regions
Leudelange, Luxembourg
FinologeeCEDRS
FinologeeCEDRS has been designed to help banks achieve full compliance with the CSSF Circular 20/747 in relation to the Law of 25 March 2020 establishing a central electronic data retrieval system related to IBAN accounts and safe-deposit boxes held by credit institutions in Luxembourg. FinologeeCEDRS can be customised to meet every......
relevant regions
Leudelange, Luxembourg
FinologeeDIGION
Compliant digital KYC Process automation & 3rd Party FinTech service aggregation FinologeeDIGION’s system is a white-labelled aggregation product for the financial services industry, insurance companies, telcos, FinTechs and other entities that perform KYC/AML checks to remotely on-board and identify customers, get info, documents and e-signatures, using a compliant selection of partner......
relevant regions
Leudelange, Luxembourg
FinologeePSD2
FinologeePSD2 has been designed to help banks achieve full compliance with the Revised Payment Service Directive (PSD2). Even though this product is readily available, we give financial institutions the power to cherry-pick the services and APIs they need in order to open-up their data to third-party providers. We take into consideration every......
relevant regions
Pittsburgh, PA, United States
FinScan
FinScan is a global provider of advanced anti-money laundering (AML) solutions trusted by leading organizations around the world. Leveraging decades of expertise in data quality and matching technologies, FinScan’s unparalleled accuracy helps minimize false positives while reducing the risk of missing true hits. Its exceptional speed and scalability enable efficient......
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
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......
Austin, TX, United States
Forcepoint Financial Services
Financial institutions face stiff requirements for data security compliance as well as intense scrutiny from customers, regulators and shareholders. Every day, your institution’s reputation — and your own — is on the line. One failed audit or media report of a data breach can cause irreparable harm. Forcepoint’s human-centric cybersecurity solutions......
relevant regions
Portland, ME, United States
Foreside
Financial firms must innovate or risk becoming obsolete. At Foreside, we pair comprehensive and customized advice with best-in-class technology to help firms in the investment management space continue to innovate, improve and grow. We tap state-of-the-art technology to help firms drive operational efficiency and flourish in today’s regulatory environment. Foreside’s suite......
Zurich, Switzerland
For Risk & Regulatory Professionals
Ad hoc Surveillance Access traditional and alternative news and monitor all your listed stocks at a glance. Early Detection Detect unusual stock-specific sentiment and attention changes and make use of our extensive taxonomy of 9,000 events to identify early risk indicators. Peer Group Analysis Identify outliers within the same industry or sector with our powerful......
relevant regions
Melbourne, VIC, Australia
Fourth Line
Our Bionic Approach Fourth Line developed a rigorous 100-point compliance check in conjunction with Mills Oakley lawyers which covers… Demonstrate how much you act in your client's best intrest Bionic RegTech augmented by human oversight Deep insight into the risk in your advice process Data-driven advice ananlytics and benchmarking Pre-advice review Verify the quality and content of......
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......
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......
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
San Mateo, CA, United States
Fusion SIEM
Exabeam Fusion SIEM is a cloud-delivered solution that that enables you to: Leverage turnkey threat detection, investigation, and response Collect, search and enhance data from anywhere Detect threats missed by other tools, using market-leading behavior analytics Achieve successful SecOps outcomes with prescriptive, threat-centric use case packages Enhance productivity and reduce response times with automation Meet regulatory......
relevant regions
Toronto, ON, Canada
FutureVault for Advisors and RIAs
Build more trust with your organization, your advisors, and your clients by delivering important documents and information in the fastest, easiest, and most secure way....
relevant regions
Toronto, ON, Canada
FutureVault for Broker-Dealers
Build more trust with across your organization, with your advisors, and with your clients by delivering important documents and information in the fastest, easiest, and most secure way to materially augment front, middle, and back-office capabilities....
relevant regions
Toronto, ON, Canada
FutureVault for Credit Unions
FutureVault enables Credit Unions to deliver a best-in-class experience and build generational trust with members and their families by delivering important documents and information in the fastest, easiest, and most secure way....
Toronto, ON, Canada
FutureVault for Crypto Exchanges
FutureVault makes it easy for Crypto Exchanges to navigate compliance and reporting requirements by providing a secure and structured way to deliver key documents and statements....
Toronto, ON, Canada
FutureVault for Family Offices
Easily manage the unique and complex needs of your Family Office by providing a secure, organized, and collaborative way to share and manage important documents with Families and their Trusted Advisors....
relevant regions
Toronto, ON, Canada
FutureVault for Retail and Community Banks
Build generational trust with your clients and their families by delivering important documents and information in the fastest, easiest, and most secure way....
Toronto, ON, Canada
FutureVault for Stock Exchanges
Strengthen your relationships by streamlining workflows and securely delivering key documents in one centralized and convenient location....
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......
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......
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......
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......
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......
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
Dundalk, Ireland
Gecko
GECKO Governance is a RegTech system built by subject matter experts. Our team can translate our clients systematic processes and activities into the software, providing definitive solutions to meet all compliance pain-points across a multitude of financial service areas on a global basis....
relevant regions
Los Angeles, CA, United States
Glass
Trading Supervision Instantaneous connectivity with 2500+ institutions including transaction history, allows you to automatically flag potential violations across all of your employees accounts, providing a holistic portfolio view and restriction management application. Attestations Track your employees outside business activities, political contributions, and gifts & entertainment with easy to use, configurable templates that allow......
relevant regions
London, United Kingdom
Glassbox for Financial Services
Compete with disruptors and grow brand loyalty Digital disruptors are challenging traditional banking, wealth and investment management institutions. Customers rarely visit their branch, either preferring to do their banking remotely or opting for a digital-only bank. Customer expectations have skyrocketed, and it’s easier than ever to switch banks online. This increased competition......
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,......
Vancouver, BC, 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
Dublin, Ireland
Governor Platform
The role of Risk & Compliance oversight is to provide a decision-making framework that is logical, robust and repeatable to govern an organisation’s compliance with its’s regulatory obligations. In this way, an organisation will have a structured approach to make strategic and operational decisions about risk, compliance and regulations. The Governor......
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......
Sydney, NSW, Australia
Health Check Platform
Health Check is a cloud-based platform designed to help regulated businesses (and their professional advisers) to assess the design and operational effectiveness of compliance programs, by mapping policies/procedures to compliance obligations; performing control testing; documenting key observations/recommendations in reports and using data analytics to derive actionable business intelligence on compliance......
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
San Francisco, CA, United States
Hearsay Sites
Modern advisor website program that strengthens your brand and attracts clients at scale Increase corporate brand reach and control - Modern, on-brand websites that scale to your entire field team with conversion metrics back to corporate site traffic Drive discoverability, demand, and conversion rates - Proven ROI with local SEO optimization to......
relevant regions
San Francisco, CA, United States
Hearsay Social
Hearsay Social is the leading social selling tool for financial advisors. That’s why more than 170,000 advisors at the world’s most successful firms rely on it to attract prospects, retain clients, and grow their book of business. How? Hearsay Social makes it easy to nurture clients and prospects with personalized content,......
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
Vancouver, BC, Canada
HighBond
Built by industry experts who wanted a better way to work HighBond streamlines collaboration across organizations, automates repetitive tasks, and delivers best practices in a seamless, award-winning interface—all powered by ACL Robotics and Rsam technology. One intuitive and accessible platform that delivers: Dynamic, automated workflows Data consolidation Domain expertise and guidance Global scale An unparalleled customer community Explore......
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 ...
Givisiez, Switzerland
HYPERSUITE/5
If documents are not managed proactively in an organization, it can result in lost information and duplicated records, leading to loss of productivity and profitability. Moreover, security breaches can have a significant adverse impact on a company’s bottom line business and non-compliance to legal archiving and record keeping regulations will......
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....
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 ...
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......
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....
Givisiez, Switzerland
ICOS/2
ICOS/2 offers a fully digitized onboarding / CLM experience, enabling financial service providers to innovate and harmonize sales processes. This modular platform allows you to approach the customer anywhere with an unrivaled journey and to increase the efficiency of your associated front and back office processes. ICOS/2 facilitates identical services in......
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
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
Accelerate Digital Transformation and Get Ahead of the Competition The financial services industry is changing on an unprecedented scale. Financial technology, regulations, and changing customer behaviors are reshaping how services are being designed and delivered. Leveraging comprehensive digital identity capabilities helps you acquire customers faster by: Anchoring a comprehensive digital identity strategy......
relevant regions
London, United Kingdom
Identity verification
Compliance made simple We help you meet industry standards and comply with global regulations. Regulatory checks KYC PEPs Sanctions AML Industry Standards JMLSG 2017 GDPR PSD2 PAS 499 Get the good guys through faster We combine world-leading technology with expert human recognisers to ensure only genuine customers can get through your identity checks. Robust anti-spoofing: Biometric face matching and liveness detection protects your business from......
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......
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
McLean, VA, United States
ID.me Document Verification
Verify authenticity of ID documents with confidence ID.me uses machine vision, proprietary rules, a rich document library, and AI to determine authenticity of ID documents. The solution boasts an industry-leading recognition rate. Correct human errors Bad photos are the biggest cause of document verification failures. ID.me corrects bad angles/perspective, blurriness, and light reflection. Faster......
relevant regions
McLean, VA, United States
ID.me KYC Verification
Unify logins across business units ID.me’s single sign-on streamlines the identity and login experience across business silos, making it easier for customers to take advantage of new financial products. Improve account opening conversion Minimize forms and data capture with our simplified KYC flow. If a user is already verified with ID.me, they do......
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......
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
Innova is a modular solution designed for the financial sector. It enables the creation and automation of end-to-end business processes for custodian banks, asset managers or funds administrators. This artificial intelligence-powered solution supports companies with full automation of investment compliance controls with semantic analysis and automatic detection of investment rules.......
relevant regions
Toronto, ON, Canada
Insight360
In an effort to protect investors, securities regulators make and enforce rules including KYC, KYP, and Suitability Obligations. These are considered principal responsibilities owed by advisors to their clients and a cornerstone of the investor protection regime. Meaningful dialogues with clients are necessary to obtain a solid understanding of their accurate......
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......
San Mateo, CA, 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 York, NY, 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 York, NY, 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
Bala Cynwyd, PA, United States
InvestEdge Investment Technology Solution
Since 2000, InvestEdge has been a leading technology partner helping wealth management firms and institutions more effectively aggregate, transform and present complex investment data to better serve their clients. Our integrated solutions provide a breadth of tools that simplify wealth management processes and reduce overall operational risk. Using the integrated solutions......
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......
Luxembourg, Luxembourg
Investment Fund Services
Vestima Vestima delivers a suite of investment fund services supporting the cross-border distribution needs of the investment fund industry around the globe. It provides a gateway to global funds solutions ranging from order routing, centralised delivery versus payment (DVP) settlement, safekeeping and asset servicing to collateral management. This allows customers to......
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....
Toronto, ON, Canada
InvestorCOM RolloverAnalyzer
InvestorCOM RolloverAnalyzer is a drop-in, cloud-based application for financial professionals to make best interest rollover recommendations and consistently document and disclose their analyses to clients....
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
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
Amsterdam, Netherlands
Keesing AuthentiScan
AuthentiScan; Professional Authentication. Straight forward solution. Keesing AuthentiScan offers professional authentication of passports, ID cards, driving licenses, visas and residence permits. It is easy to use and the system performs a number of fully automated ID checks. It generates a result in seconds, allowing you to determine whether a document is......
relevant regions
Amsterdam, Netherlands
Keesing Documentchecker
Checking the world’s ID documents and banknotes with Documentchecker Keesing Documentchecker gives you access to the world’s most comprehensive reference database for ID documents and banknotes. The database contains detailed descriptions and high-res images of thousands of passports, ID cards, driving licenses, visas and banknotes from over 200 countries and organisations.......
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......
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......
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......
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......
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
Waterford, Ireland
Kriptan Identity Network
Every set of identity attributes has one or more authoritative sources. Corroborative IdPs constitute data sources which obtain identity information either from another corroborative source, or from an authoritative source. Corroborative sources rely on other sources of information and therefore provide a lower level of assurance (LoA) than authoritative sources,......
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”......
Luxembourg, Luxembourg
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,......
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......
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
Hong Kong, China
KYC Data
KYC Data equips compliance teams with the most effective tool to protect their business against financial crime and money laundering: unmatched real-time registry access and highest-quality data from authoritative sources, all leveraged through automation. Real-time registry access Discover the most powerful and comprehensive real-time registry connector in the market. Access official company registries in 125 countries......
relevant regions
Waterford, Ireland
KYCexpert
Cloud based Sedicii has developed a solution, KYCexpert, which enables organisations to onboard corporate and individual clients in a simple, easy to use cloud based solution. KYC & KYB process In the world of regulated digital services, there is a requirement for a person to prove their identity and for the ultimate beneficial......
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
Leudelange, Luxembourg
KYC Manager
KYC Manager is a ready-to-use digital customer onboarding and customer lifecycle management solution that enables Luxembourg-regulated financial institutions to accelerate their digital transformation and reshape the way they manage their clients across their entire lifecycle in full compliance with Luxembourg’s financial industry regulations. What is KYC Manager? Digital platform built by Finologee......
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
Hong Kong, China
KYC Review
KYC Review keeps customer records truly up to date through automated reviews, continuous KYC and smart monitoring. Let our system ensure the client information you have on file is always accurate, so you don’t have to. Automated case reviews Achieve perpetual compliance with anti-money laundering (AML) regulations across multiple jurisdictions. Let our system refresh all......
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 and the service sectors around the......
relevant regions
Zug, Switzerland
KYC Toolbox
The KYC Spider Toolbox is an intelligent compliance tech platform for simple and secure personal and corporate checks as well as for risk assessment and risk categorisation of your existing business partners. The Toolbox gives you access to all the functions you need for your end-to-end compliance process. As comprehensive as......
relevant regions
Vienna, Austria
KYC workspace
Leave behind cumbersome, time-consuming due diligence tasks and complete all your processes in one secure digital space that offers unrivalled access to audit-proof company information, retrieved in real-time. KYC workspace enables access to the following tools and features: Live Company Search across all jurisdictions with monitoring & alerting Automated workflows for case......
relevant regions
Hong Kong, China
KYC Workspace
KYC Workspace digitises, centralises and streamlines all the steps in the AML and KYC process, moving compliance to the Cloud once and for all. Compliance platform Transform your compliance department into a digital-first function, able to scale at the pace of your business and expand globally. Team members get access to one digital workspace......
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......
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......
Fareham, 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
New York, NY, United States
Managed Cyber Security & Compliance
Managed security services - industry leader in managed security services through our Virtual CTO and CISO solutions RFA pioneered 24/7/365 Managed Detection & Response (MDR) and Securities Operation Centre (SOC) services and solutions to the IT market. Managed IT compliance services RFA’s cybersecurity governance and risk assessment processes provide a foundation for effective technology......
relevant regions
Oakland, CA, United States
Managed IT for Financial Services Firms
Criminals target financial service firms because that’s where the money is. And like so many firms, they often lack the resources and in-house experience to deal with sophisticated threats and increasing regulatory scrutiny. Xantrion is here to design, implement, and support your online collaboration environment so you can focus on everything......
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
New York, NY, United States
MCO Know Your Employee (KYE)
Employee compliance encapsulates many types of potential conflicts of interests. The MyComplianceOffice platform fully integrates functionality and data in a unique way to ensure nothing is missed and that you really Know Your Employee. ...
relevant regions
London, United Kingdom
messagematrix Platform
Client Messaging Integrations Staff use of personal messaging applications for business purposes is both a security and compliancy risk for firms. Our messaging platform integrates into WhatsApp and SMS, allowing staff to message their clients using these consumer applications, whilst remaining fully compliant and highly secure. Biometric Approval With the ever growing number of......
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
Vinon-sur-Verdon, France
MIFID II/LSFin Client Suitability Assessment
1) 80% client's satisfaction thanks to a gamified user interface. 2) 100+ risk profiles can be assessed thanks to our adaptive questionnaire. 3) 80% predictability over 10% for traditional questionnaires. 4) 100% customizable. In standalone or integrated to your IT system. ...
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......
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......
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......
London, United Kingdom
Monitor
Your window into user behaviour Our intuitive UI makes analysing conversations and reporting simple Armed with our advanced communications surveillance portal, administrators and compliance teams can dive deeper into their organisation’s data, reconstruct trades and produce on demand reports for regulators. Communication surveillance Realise the power of surveillance It's time to start operating smarter. Save......
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......
Horsholm, 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
London, United Kingdom
My Compliance Centre
Modernise your compliance management with a single, shared and integrated cloud-based solution. Specifically designed for firms that offer regulated financial services and in sectors that include Asset Management, Banking, Capital Markets, Consumer Credit, Corporate Finance, Fintech, Insurance, Investment Management, Payment Services, Private Equity, Venture Capital and Wealth Management. Stronger governance Complete transparency......
relevant regions
Bedford, United Kingdom
MyDocSafe
Fact Find portal ready for action. Pre-loaded fact find portal with more than 25 forms Easily adjusted for your business’s requirements Integrated with the Companies House and address lookup E-signature for every workflow Electronic signature for any type of transaction: sign-up clients, hire staff, onboard suppliers, work with existing clients Give your clients and employees the......
relevant regions
Oldham, United Kingdom
MyGabriel
In under 15 minutes* you can complete all sections of your Gabriel Report using MyGabriel. We work with industry experts to ensure we provide a great service to IFA’s across the UK and also work closely with the FCA to ensure any legislative changes are included in the software quickly, as......
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......
Newcastle, United Kingdom
Nasdaq Automated Investigator for anti-money laundering (AML)
Traditionally, the processing and investigation of anti-money laundering (AML) alerts at banks has proven to be a difficult and costly problem. Large investments are often made on teams of human analysts, who are tasked with managing and investigating alerts and making high risk decisions. The wide scope of surveillance means that......
relevant regions
London, United Kingdom
Neotas Platform
We gather, and process data from an unlimited number of open sources including social media, and the deep, and dark web. This provides clients with clear, easy to understand reports and dashboards to enhance their decision making. Neotas are the next level of due-diligence. We leverage the power of our platform......
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......
Calabasas, CA, United States
Netki TransactID
Travel Rule compliance regulations from FATF and global jurisdictions are creating new challenges for businesses that exchange digital currency. TransactID was created specifically to address the needs of VASPs, providing a powerful, flexible, easy-to-implement solution. Works with custodial and non-custodial wallets Enable the exchange of digital currency between any wallet type Peer to......
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......
Acton, MA, United States
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 ...
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......
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......
Evanston, IL, 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.......
Luxembourg, Luxembourg
ONBOARD
Digitise Onboard investors and perform KYC/AML requirements in a digital first environment Comply Integrate with our KYC & AML partners or provider of your choice Distribute Open your offering to a global pool of investors Automate Optimise onerous process to automate functions and reduce costs ...
relevant regions
Luxembourg, Luxembourg
ONCHAINID
From a siloed ecosystem Capital markets currently use fragmented systems to input and manage identity data In today’s market, financial institutions and service providers work from disconnected systems that lead to slow data retrieval, unreliable information and inefficient processes. Work is duplicated and significant resources are needed to oversee data, leading to......
Hong Kong, China
On-Demand Business KYC Reports
Via one highly intuitive user interface or a single API, you can access, review and download company data and official incorporation documents from 500+ local company registries worldwide with the click of a button. However, we don’t stop there. Know Your Customer’s proprietary technology extracts shareholder information from filing documents automatically,......
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......
Minneapolis, MN, United States
OneSumX for Compliance Program Management
Financial services organizations face an increasingly complex and demanding regulatory environment. Increased scrutiny from regulators, demands from stakeholders for greater transparency and a greater appetite for insightful business analytics are stressing antiquated manual approaches to compliance management to the breaking point. Compliance professionals are faced with the need to not......
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
Zurich, Switzerland
Open Bank Account for Swiss Company
In the age of compliance, how easy is it really to open a corporate, business or capital deposit account for a start-up company in Switzerland or Europe? Over the last 10 years, bank account opening has cardinally changed – from being a mere formality to becoming a lengthy and knowledge-intensive......
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......
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. ...
London, United Kingdom
PassFort Platform
Regulated firms use PassFort to digitally transform KYC and AML workflows, bringing people into the process where they add most value. Automate everything from onboarding to off-boarding to ongoing risk monitoring, and free compliance teams to make the difference with risk-based decisions. 1. Acquire Collect customer information required to acquire the product 2. Onboard Assess risk,......
relevant regions
New York, NY, United States
Patrina
Patrina delivers exactly the nontrading regulatory compliance tools you need when you need them. Flexible compliance solutions that are easy-to-use and affordably priced. As 17a-4 compliance specialists, we’re committed to making records archiving and supervision easy and affordable. Every Patrina compliance product, every Patrina compliance service is designed to make your......
Melbourne, VIC, Australia
Paydentity
Our product offerings revolve around optimising the online payment journey in a global, seamless and secure way. We empower cross-border, regulated and high-value businesses with specialist banking services, with a single integration to our solutions. Our patented technology Payment Instrument Verification (PIV) is a technology which combines the verification of the user’s identity......
relevant regions
Toronto, ON, Canada
PeerCompare
Stay on top of material changes on your shelf with custom monitoring and alerts that give you the information you need, when you need it. ShelfMonitor scans investment products for changes such as sales and fees, management information, product suitability and risk. Identify material change as soon as it happens Filter and......
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......
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......
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. Evaluate relative and absolute performance. Understand how management decisions such as......
relevant regions
Birmingham, United Kingdom
Platinum~Pro
SIPP~Pro SIPP~Pro has evolved over 20 years of constant regulatory change to be broad and deep, meeting the multifarious needs of all SIPP providers in today’s heavily regulated and competitive market Comprehensive SIPP regulatory and administration functionality, enabling automation of target operating model via seamless integration Drives data integrity, good governance and reduces......
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......
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
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
New York, NY, United States
Presults
Explore what makes our technology different The Presults™ solution to smarter regulatory compliance in 3 simple steps: Pre-detection All emails sent from your company pass through the Presults™ intelligent gateway, where we check the contents of the email for potential compliance breaches. Self-remediation If we detect an issue in an outgoing email, we prompt the......
relevant regions
Waterford, Ireland
Prexa
In the context of Anti-Money Laundering (AML) transaction monitoring processes, banks can collaborate and jointly compute advanced risk assessment algorithms that consume information available in the different banks about their customers without actually having to share that information by using our patented multi-party computation (MPC) cryptographic protocol. Sedicii has developed a......
relevant regions
Las Vegas, NV, 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....
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
Portland, OR, United States
Professional Archive
The Professional Archive is a comprehensive and user-friendly compliance platform from Smarsh. Inclusive of capture, archive, supervision and e-discovery capabilities across 80+ communication channels, the Professional Archive delivers unparalleled efficiency at your organization with a single pane of glass solution. Support for new channels is continually being added, so you......
relevant regions
Toronto, ON, Canada
Publisher
Use InvestorCOM Publisher to automate the process of composing, translating, and publishing regulatory documents such as MRFPs, financial statements, fund facts, prospectuses, and any data-intensive regulatory document. From data to SEDAR-ready documents, Publisher delivers on-time, every time. Eliminate the high cost and time delays of traditional typesetting French language support Meet compliance for......
relevant regions
London, United Kingdom
Qomply MiFID Reportability Tool
Input an ISIN (instrument identifier), a string of ISINs, or upload a CSV file. The service will return the reportability of the instrument for the trade date and region. Know instantly if the instrument was reportable, when, and where. This is the only service freely available that queries both EU and......
London, United Kingdom
QomplyPi
QomplyPi is a cloud-based application used by trading venues and investment firms. The QomplyPi platform centralises the maintenance, processing and distribution of personal sensitive data so as to comply with recent EU MiFID II regulations, GDPR, and data privacy. The solution promotes an integrated financial system, imposes a secure control......
relevant regions
London, United Kingdom
Qomply ReportAssure
Covering MiFID (MiFIR), EMIR and SFTR, Qomply delivers one of the most comprehensive arsenals of accuracy checks in the industry. Qomply’s Transaction Report Diagnostic Auditor is powered by a proprietary assurance engine that checks every single piece of transaction report data for accuracy – performing a sophisticated matrix of roughly 1,000......
relevant regions
London, United Kingdom
Qomply Unified Message Monitor
The unified messaging monitor can be used stand-alone or integrated into an existing technical infrastructure through an API. Optionally, the monitor can be used as part of the entire QomplyPi Sensitive Data Solution....
relevant regions
Wayne, PA, United States
QuantaVerse AI Financial Crime Platform
Our proprietary tools and methods allow us to access, acquire, ingest and analyze huge amounts of structured and unstructured data. Our solutions work where other systems fail because we can discover patterns and discern anomalies in that data that are regularly lost by current approaches. AI for Financial Crimes Preventing criminals from......
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
London, United Kingdom
Quantitative Solutions
We offer high-quality, cutting-edge risk reporting specifically designed to satisfy investment fiduciary obligations across asset classes. MJ Hudson Quantitative Solutions provide independent, first-class Managed Software as a Service (MSaaS) FinTech solutions for the investment fiduciary marketplace. Asset managers, fund services and wealth managers face a confluence of market, political and regulatory demands. Regulation Ongoing......
San Francisco, CA, United States
Radar
Use ML that actually works Radar helps detect and block fraud for any type of business using machine learning that trains on data across millions of global companies. It’s built into Stripe and requires no additional setup to get started. Stop blocking legitimate customers Old ways of combating fraud were never designed for modern......
relevant regions
Enschede, Netherlands
ReadID
Secure, scalable and instant ReadID identity verification is being done with an ePassport, ID document or residence permit and smartphones with NFC capabilities. The same NFC chip in mobile phones that enables payment, also enables mobile identity verification. NFC can be used to enable remote verification with a smooth customer experience, with......
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......
London, United Kingdom
Reconstruct
Reconstruction, on demand Increase trade transparency and improve oversights Automatically understand your business activity Siloed communication and trade data make it impossible to accurately understand your business activity. By combining insight from communications and trades and orders, efficiently investigate the context around your trades, detect suspicious activity and provide accurate reconstructions to comply with......
relevant regions
Nottingham, United Kingdom
Red Box Platform
Platform Architecture Capture voice data from all legacy and new voice platforms, on premise or in the cloud. Suitable for businesses of any size, the extended Red Box platform architecture enables the extensibility of its proven application to natively operate and scale on all cloud and on-premise environments, whilst continuing to ensure......
Cedar Park, TX, United States
Red Oak Compliance
Industry leading compliance workflow software, expert compliance consulting. We help firms meet regulatory requirements and increase ROI. Bottom line - we have deep experience on both sides of the business and use it to customize a solution that best fits your firm's needs. Products: Red Oak Software, a comprehensive suite of......
London, United Kingdom
Refinitiv Maxit
Today’s information reporting requirements for banks and brokerages are complex and resource consuming. In addition, fragmented vendor solutions create risk and cost challenges associated with compliance, vendor management, data integration, data accuracy and overall cost inefficiencies. Refinitiv Maxit, the industry’s only end-to-end tax information reporting solution, was developed specifically to solve......
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......
Morrisville, NC, United States
RegEd
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with hundreds of enterprise clients, including 80% of the top 25 financial services firms. Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated......
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......
Auburn, CA, United States
Regulation Best Interest
Reg BI Highlights: Provide full and fair disclosure of the material facts of your client relationships. Prove and document that you have clients' best interests first, always. Understand the risks, rewards, and costs of your recommendations. Show a reasonable basis to believe your recommendations are in the best interest of your clients. Demonstrate that recommendations are in a client's best interest based on......
Pittsburgh, PA, United States
Regulatory
Increase scalability and efficiency, while you navigate and comply with complicated global regulatory mandates. Proven and trusted - regulatory reporting As the demand for regulatory transparency increases, a scalable and automated reporting solution with extended asset class coverage is necessary to ensure consistent oversight of risk and the ability to quickly respond to......
relevant regions
New York, NY, United States
Regulatory / ADV Platform
Powerful sourcing & analytics Leverage ADV filings for manager sourcing and benchmarking. Build dashboards, analyze service providers, and identify key risk areas. User-friendly research platform Access simple, yet effective advisor profiles, private fund listings, and private fund profiles. Configure materiality threshold for filing changes. Track historical changes between any two dates. Timely email alerts Free......
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
Boston, MA, United States
Regulatory Compliance
Outdated manual methods of governing data simply can’t keep pace with growing governance objectives or with critical business needs. Immuta’s unified access and control layer creates one single, intuitive place to manage all data. Governance personnel can author and apply complex policies on all of your data without having to write......
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......
London, United Kingdom
Regulatory Data Templates
Simple and effective We are data collection experts and can work with your business without you needing to change any of your systems or processes. Accurate and timely Our ISO accredited processing teams check and validate all the data as part of the collection process to ensure it is correct, thereby improving accuracy......
relevant regions
Zurich, Switzerland
Regulatory Document Service
Regulatory Hub by SIX is an industry platform that has been designed to connect the buy-side and sell-side with each other so data and documents can be exchanged in a standardized, automated and digital way. Built to accommodate current and future international regulations, the platform acts as a communication interface......
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......
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 CRD IV, LCR & HQLA Green bonds Public reporting Interest calculations ...
relevant regions
New York, NY, United States
Regulatory Risk
Deloitte helps clients become more proactive in their regulatory functions and unlock value. Our regulatory compliance solutions offer a comprehensive approach to helping clients strengthen their reputations while enhancing business performance and improving customer service. Deloitte provides advice and delivers innovative regulatory requirements management solutions that help our clients deliver......
relevant regions
Luxembourg, Luxembourg
Regulatory Services
A very large range of service providers and financial institutions use Fundsquare to fulfil their compliance and regulatory reporting requirements. These include law firms, fund administrators, banks and investment firms. These companies use Fundsquare to provide a secure communication channel between funds and financial supervisory authorities for filing data, documents and encrypted......
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......
Zurich, Switzerland
Regulatory Services
Today’s regulatory complexity demands a strategic, connected approach. SIX develops compliance data and services in collaboration with customers to ensure alignment with today’s industry needs. We aim to make compliance easier by simplifying implementation, enabling automation and reducing total cost of ownership. Built on our core reference data expertise, our services provide......
relevant regions
Madrid, Spain
Regulatory Solutions
allShare Class Radar Share Class is a 360° MiFID solution created by Allfunds to help our clients within the MIFID II environment. It enables you to select the most suitable share class based on three core parameters: type of client, type of service and cost. All in one tool Total net cost Share class......
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......
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....
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
ReportShield Accuracy Testing
Kaizen’s multi-award winning Accuracy Testing is Kaizen’s flagship product for a reason. The quality assurance service is the only one on the market with the ability to fully assess the quality of data reported to the regulator. Utilising Kaizen’s deep testing methodology, the automated, managed service includes regular testing across all......
relevant regions
London, United Kingdom
ReportShield Advanced Regulatory Reconciliation
Regulatory reconciliations are complex and can consume a disproportionate amount of resources if executed internally. Kaizen’s end-to-end Advanced Regulatory Reconciliation Service provides an independent assessment of the completeness of your reporting to identify under and over-reporting and mismatches of data – something expected by regulators. Key features Identifies mismatches of data (price,......
relevant regions
London, United Kingdom
ReportShield Control Framework
Regulatory reporting errors are often a consequence of weak or incomplete control frameworks within investment firms. Kaizen’s comprehensive governance framework is designed by our regulatory reporting specialists to promote the completeness, accuracy and timeliness of your reporting. Key features A full governance framework and suite of policy and guidelines documentation Covers governance, accountability and......
relevant regions
London, United Kingdom
ReportShield Reference Data Testing
Kaizen’s Reference Data Testing service identifies errors in static data to ensure it is fit for your reporting requirements. Incorrect reference data can affect multiple trades across many different regimes and can have a knock-on effect on your reporting quality across all jurisdictions, leading to regulatory scrutiny, costly remediation and fines. Key......
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, FL, 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......
London, United Kingdom
Risk and Compliance Solutions
Financial crime risk Discover the tools, processes and data that can help you avoid the associated reputational and financial damage. Enhanced due diligence Get detailed integrity and advanced background checks on any entity or individual - wherever their location. Digital identity Access a powerful combination of digital identity verification, document proofing, and risk screening solutions. ...
relevant regions
Sydney, NSW, Australia
Risk Assessment Platform
The Risk Assessment Platform makes reporting and benchmarking easier by identifying and understanding what risks to assess. With a highly configurable risk assessment framework based on industry standards, flexible risk methodology and structured workflow, businesses can demonstrate sound risk management practices to regulators. ...
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......
London, United Kingdom
Risk-based Scorecard Review
Generate a risk level for each client Enhance your existing KYC process to generate a risk level for each client. Configure review to align with enterprise risk appetite and regulatory requirements Configure user-interface to align with company policies and risk appetite....
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
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......
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......
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....
Zurich, Switzerland
ROCKON | IdentON
IdentON enables quick and effective customer identity verification and total compliance with KYC | AML requirements [e.g. MRZ | scanner technology, face comparison and micropayment from a reference account]: ID check Detection of security features Liveness check | facial comparison Optional internal review Top Customer Benefits: 1. Reliable fraud prevention. 2. Maximize conversions | Lower drop-off rates. 3.......
relevant regions
Zurich, Switzerland
ROCKON | VidentON
VidentON enables quick and effective customer identity verification and total compliance with KYC | AML requirements: ID check. Detection of security features. Liveness check | facial comparison. Personal identity verification via video. Optional internal review. Top Customer Benefits: 1. Reliable fraud prevention. 2. Maximize conversions | Lower drop-off rates. 3. Swiss data security standard and jurisdiction....
relevant regions
Plano, TX, United States
Ruth
RUTH Is an innovative predictive AI/ML technology that contextualizes the way compliance and risk professionals assess actual and potential risks efficiently and effectively. RUTH collects the KYC consumer, product and transaction data from a firm. This information is measured against the regulatory requirements for suitability, Reg BI and/or fiduciary parameters and......
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
Jersey City, 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......
Sydney, NSW, 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......
Stockholm, Sweden
Sancus
The platform to step up your experience Easy to configure workflow engine We know every customer journey is different so we’ve built Sancus to maximize flexibility with best in class integrations and easy workflow editing. Fast and simple integration Sancus is easy to integrate with existing CRM systems via our suite of APIs. Because......
relevant regions
Cary, NC, United States
SAS for banking analytics
Why choose SAS® for banking analytics? Banking as we know it is disappearing, and the entire financial ecosystem is undergoing radical change. Digitalization, fintech, regtech, open banking, data privacy and regulatory compliance technologies are all playing a part. SAS believes that surviving banks will be hyperintelligent, AI-driven organizations that can provide......
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......
London, United Kingdom
Screening Deployed 2.0
Advanced algorithms to reduce false positives SD2.0 uses the latest screening technology and sophisticated algorithms to reduce false positives while detecting real and relevant matches. Having fewer false positives lets you focus on the most important cases and reduce unnecessary, repetitive tasks. Instantly test and improve screening processes with the new Sandbox......
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
Ames, IA , 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
Toronto, ON, Canada
Secure Document Delivery
We'll help your front and back offices save significant time and money by improving the way you're delivering monthly statements and important documents to your clients in a secure, easy-to-use Vault....
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
Washington, DC, United States
Securrency Interoperating System
What we call the Securrency Interoperating System, is an open framework of services and interfaces designed to enable seamless integration of emerging DLT capabilities and existing banking and exchange infrastructure. It is underpinned by three important capabilities: Securrency Identity™ High reliability identity verification, authentication, and authorization for individuals and entities. Combining Know......
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
London, United Kingdom
Shareholding Disclosure Service
No more spreadsheets! Kaizen’s Shareholding Disclosure Service is an automated software solution for the monitoring and reporting of shareholding disclosures, an extremely complex area for compliance professionals. With more than 400+ global rules, across more than 100+ jurisdictions, Kaizen’s has been designed by experts with years of first-hand experience working, who......
relevant regions
Toronto, ON, Canada
ShelfMonitor
Stay on top of material changes on your shelf with custom monitoring and alerts that give you the information you need, when you need it. ShelfMonitor scans investment products for changes such as sales and fees, management information, product suitability and risk. Identify material change as soon as it happens Filter and......
relevant regions
Tel Aviv, Israel
Shield
What is Shield about? An advanced end to end eComms compliance platform that allows organizations of any size to mitigate risks, improve efficiency and escape the data silos. What are we here to do? Shield redefines the way enterprises manage and mitigate eComms compliance risks by automating and orchestrating the complete eComms compliance......
relevant regions
Acton, MA, United States
Signal Archiver
Capture and archive Signal messages App on iOS or Android phone that looks and works exactly like the standard Signal application Capture and archive Signal messages App on iOS or Android phone that looks and works exactly like the standard Signal application Captures all messages including text, multimedia communication and files The App forwards a......
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
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......
Palo Alto, CA, United States
Simility Adaptive Decisioning Platform
Organizations need a holistic approach to fraud and risk management that not only provides the flexibility necessary to integrate various data feeds, but also enables detailed analysis, incorporates advanced machine learning, has a rich workbench to analyze results, and is customizable to changing business needs. Simility’s Adaptive Decisioning Platform empowers......
relevant regions
Orange, CA, United States
Simple Compliance Calendar
Simple Compliance Calendar is a solution to automate and remind you what compliance tasks are due each month. Our simple interface tells you what is due, waiting for more information, and past due. Your one-page dashboard gives you a quick snapshot in seconds. Your Simple Compliance Calendar will allow you to......
relevant regions
Orange, CA, United States
Simple Compliance Portal
Simple Compliance Portal gives firms a dashboard for their compliance and executive teams, combining the power of our Simple Compliance Calendar and online data gathering tools. Whatever information you need to collect, we provide a solution that includes workflows, route requests, approvals and acknowledgements to your team members. Pricing is simple as it consists......
relevant regions
Orange, CA, United States
Simple Email Archive
If you are looking for an email archiving solution that just works, ask us about our secure SEC and FINRA compliant solution. Built for compliance teams Simple everything SEC 17a-4(f) and FINRA 2210 compliant Tech stuff for your IT team ...
relevant regions
Brighton East, VIC, Australia
SimpleFund360
Empowering SMSF professionals Go beyond data entry! Grow your SMSF business with the AI-powered, innovative and award-winning technology in Simple Fund 360. Artificial Intelligence Work smarter, faster and with more accuracy with Simple Fund 360’s artificial intelligence powered smart transaction matching and review technology. BGL SmartDocs Quickly turn your SMSF paperwork into usable, digital data......
relevant regions
Brighton East, VIC, Australia
SimpleInvest360
Empowering accounting professionals Go beyond manual data entry. Grow your trust investment and portfolio management business with Simple Invest 360! Leveraging the powerful, award-winning technology of our SMSF administration solution, Simple Fund 360, together with an ecosystem of 300+ automated data feeds, Simple Invest 360 provides robust CGT record-keeping, trust portfolio financial......
relevant regions
Orange, CA, United States
Simple Trade Monitor
Background Your Code of Ethics requires an adviser's "access persons" periodically report personal securities transactions and holdings to their chief compliance officer or other designated persons. Historically, this need is completed by ordering duplicate statements from outside companies or asking employees to provide quarterly statements. The statements are then manually sorted, reviewed,......
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....
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....
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....
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
Freigericht, Germany
Smarter Financial Services
Customers ask for pro-active, multi-channel, end-to-end experiences. Markets demand scalable business models facilitating highly personalized client advisory and services. New technologies enable FinTech and InsurTech startups to disrupt the industry. Financial service providers need to update their enterprise architecture to connect innovative Banking and Insurance APIs with legacy systems. Comprehensive......
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......
Boca Raton, 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... ...
Knoxville, TN, United States
SmartRIA Pro
All-in-One Compliance Platform for RIAs Imagine starting your week with a bird’s eye view of your entire firm’s compliance calendar on a simple-to-use dashboard that can be learned in a day with technology that actually improves your processes. No more spreadsheets tracking annual reviews or who’s signed annual attestations and submitted outside......
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......
New York, NY, United States
Socure ID+
Scale enrollment with ID+, a full-service machine learning platform for elegant onboarding with minimized risk and maximized compliance efficiencies. Detect identity fraud risk with highest accuracy in the industry. Socure’s Sigma Fraud models deliver the highest fraud capture rates and the lowest false positive rates in the industry, with model accuracy at......
relevant regions
Geneva, Switzerland
SpeciVIM
A software designed for private banking SpeciVIM is a complete KYC solution designed for private banks. It aims to cover all business needs and provide you all functionalities to have a 360° view of your client by centralize all client data and interactions in one software. Create, manage, track and follow......
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......
Toronto, ON, Canada
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......
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......
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
Sydney, NSW, Australia
TaxIntell
In a complex tax landscape, TaxIntell combines disparate data sources to streamline the preparation, analysis, review, and submission of your client’s tax reporting needs. It has the ability to drill down to source data and provide a new level of transparency and audibility. This enables active monitoring and reporting of......
relevant regions
Zurich, Switzerland
Tax Services
For 90 years, SIX has been at the side of financial institutions, supporting their compliance teams with powerful, scalable, and now automated data and analysis. As the stakes get higher, the rules more complex, and the pressure ever greater, SIX remains a trusted partner for tax and compliance data and......
Mumbai, India
TCS Enterprise Regulatory Compliance Management Framework
Challenge Compliance has emerged as the main focus area for financial firms, and any lapses are severely penalized. Regulators expect financial firms to efficiently manage risk and demonstrate that they have the systems, processes, and controls in place to do so. However, financial firms struggle with siloed systems, disjointed workflows, and frequent human......
relevant regions
Mumbai, India
TCS Financial Crime Compliance
Challenge Financial institutions are no strangers to money laundering, fraud, and other financial crimes. However, the frequency and severity of such crimes have been on the rise, posing a significant challenge to banks and financial services firms. The COVID-19 crisis has magnified the problem for financial institutions, which were already struggling......
relevant regions
Chicago, IL, United States
Tegus Compliance
Ensuring Safe and Secure Research Practice When it comes to compliance, we’re unreasonably good at preventing and detecting any potential risks or violations. Our compliance leadership team boasts more than 20+ years of experience working for regulators, including at the SEC, FINRA, and European regulators - and those leaders have a......
relevant regions
Acton, MA, United States
Telegram Archiver
Capture and archive Telegram messages App on iOS or Android phone that looks and works exactly like the standard Telegram application Capture and archive Telegram messages App on iOS or Android phone that looks and works exactly like the standard Telegram application Captures all messages including text, multimedia communication and files The App forwards a......
relevant regions
Milton Keynes, United Kingdom
Testsmart
Competent and capable staff is a “must have” for any regulated business. It clearly evidences a real commitment to treating customers fairly. Paper based, generic e-learning programmes or home-grown learning systems that might once have been adequate are no longer enough to keep pace with today’s regulatory demands. With the implementation......
London, United Kingdom
The Acin Platform
Network - see how your risks and controls compare with your peers Acin has collaborated with leading financial institutions to build the defining operational risk controls data network. Built for financial institutions and backed by Fitch. By applying standard data protocols, we have created a common language to deliver unique risk......
relevant regions
London, United Kingdom
The GATEway System
It has been designed by compliance experts at Newgate specifically as a compliance product and solution to simplify the implementation of your compliance procedures within your firm. This system has been designed for firms within the industry and does not attempt to adapt an off-the-shelf system into a compliance product. Key......
relevant regions
Knaresborough, United Kingdom
TIARA
We have leveraged our industry experience to create a purpose-built solution to make the complex simple. Bolstered by a technical architecture with streamlined processes, automation at its core and integrated logic within the coding for administration, TIARA is the total solution for all tax reporting needs....
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
Sydney, NSW, Australia
TIQK Analytics
Visualise key indicators and trends from advice files Profile business activity, the advice provided, and client characteristics. Measure how well advice follows controls and agreed disclosures, and validate or flag advice that is disclosed well – or poorly. Explore Adviser profiles Deep dive into adviser compliance and risk indicators, client demographics, reviewed files,......
London, United Kingdom
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......
London, United Kingdom
TR Accuracy
The output is easy to understand with links back to the original ESMA texts and granularity down to every field of every record. Automated data quality validation. Processes 100K records in just 2 minutes. EMIR & MIFIR Reporting Links back to the regulatory text. User configurable solution. Validation against market data (LEI, ISIN, FIRDS, CFI, Etc) ...
relevant regions
Milton Keynes, United Kingdom
Tracsmart
Understanding that key roles in regulated entities are subject to the FCA’s Training and Competence (T&C) rules is well established practice. T&C has been an integral part of financial services for decades and a regulatory requirement since the 1990’s. How firms implement and manage T&C varies from firm to firm. However,......
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......
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......
Worksop, United Kingdom
Trailblazer Tracking
The app enables on-the-go access to client information, the ability to record outputs from client meetings, telephone conversations can be noted in the contact area, and an auditable messaging service is available all of which will help to comply with the new requirements of MIFID ll. By providing client information or......
relevant regions
London, United Kingdom
Transaction Monitoring
Napier’s Transaction Monitoring is a powerful solution that provides a systematic, intelligent review of an organisation’s transactions. It is simple to deploy and is designed to be used by non-technical business users. Built on big data architecture, it can handle 100’s of millions of transactions with ease and enables businesses to......
relevant regions
London, United Kingdom
Transaction Screening
Ingest client data and import reference lists Use sanction data from internal and external sources to perform real-time searches on payment or any transactional data....
relevant regions
London, United Kingdom
TransWatch 2.0
Dynamic Transaction Monitoring with machine learning TW2.0 brings you Dynamic Transaction Monitoring - a sophisticated transaction monitoring capability enhanced with machine learning and advanced analytics to identify anomalies. Complement traditional rules-based reviews of customer activity with an independent machine learning driven review of your customer’s activities. Create, update and test rules instantly......
relevant regions
London, United Kingdom
Travel Rule
The challenge Known as the Travel Rule, FATF Travel Rule requires virtual asset service providers (VASPs) such as cryptocurrency exchanges, digital wallet providers and even some financial institutions including banks dealing with crypto assets, to ensure that certain customer data is disclosed and transferred between counterparties as a part of the......
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......
London, United Kingdom
TR Completeness
TR Completeness will perform a full technical reconciliation to ensure all data enrichment and operational processes have worked as expected. It has been specifically designed to meet the Article 15 requirement of RTS 22; “Arrangements shall include regular reconciliation of their front office trading records against data samples from NCAs” ...
relevant regions
Luxembourg, Luxembourg
T-REX (Token for Regulated EXchanges)
T-REX Smart Contracts Customizable smart contracts suite to reporesent securities on the blockchain CONTROL SECURITIES The issuer/agent keeps control of the securities and can mint/burn/block tokens at any time EMBED COMPLIANCE Compliance rules and responsibilities are hardwired into the tokens to ensure the compliant transfer ADD FUNCTIONS Add smart contracts on an ongoing basis for additional asset......
London, United Kingdom
Trudatum
Why Trudatum makes a difference? 1. Integrated and trustful digital assets flow Trudatum allows you to securely manage your digital assets workflow, ensuring that regulatory requirements are met. Full control over digital assets and their versions without the possibility of substitution or change. Guaranteed security of consistency and digital assets integrity. Control the use of......
relevant regions
Fleet, United Kingdom
TrustQuay Online
TrustQuay Online is the game-changing corporate services and trust administration Software-as-a-Service (SaaS) solution, powered by Microsoft Dynamics 365 Business Central. It is the only cloud-native and fully-digital entity management, client accounting, general ledger and practice management platform within this market. TrustQuay Online accelerates digitalisation and drives automation to differentiate your business....
relevant regions
London, United Kingdom
UCITS KIDS/PRIPS KIDS
Reduce compliance risk Since the introduction of PRIIPs (Packaged Retail Investment and Insurance-based Products) Regulation and the UCITS (Undertakings for the Collective Investment in Transferable Securities) Directive, the challenge is still at large for fund managers producing and maintaining key information documents for investors. Constant regulatory review and inherent market fluctuations......
relevant regions
Philadelphia, PA, United States
Verify for Financial Institutions
Banks, credit unions, insurance providers Verif-y offers a streamlined approach to regulatory and compliance requirements for a wide variety of financial institutions. A Verif-y authenticated identity on new retail and commercial clients reduces compliance risk for know-your-business and know-your-customer requirements. Eliminate compliance fines and speed up KYC processes by eliminating the need to store client data......
New York, NY, United States
Vestorly Content Engine
Vestorly is a powerful content engine that integrates seamlessly with existing marketing automation platforms that serve the global financial services industry. It uses artificial intelligence and proprietary data to distribute compliant digital media on a personalized scale impossible to replicate at the human level. It reduces overhead, uncovers opportunities, and......
relevant regions
Kerry, Ireland
ViClarity
ViClarity has been providing Audit, Risk & Compliance software to some of the biggest global fund managers over the last 10 years. Fund Management organisations have been using ViClarity solutions ranging from online risk registers to compliance monitoring to very specific areas such as vendor management, client assets, investor money,......
Ottawa, ON, 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, NY, 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
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......
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......
London, United Kingdom
Wayfinder
What is Wayfinder? (only the best regulatory intelligence engine you’ll ever use) Wayfinder is an industry-driven, native-cloud SaaS solution designed to give Professional Services firms, sell-side firms, buy-side firms and government agencies total control over their regulatory intelligence, change management, and costs with transparent, predictable pricing and a powerfully intuitive, easy-to-use technology......
relevant regions
London, United Kingdom
WDX Manage
By automating routine client service tasks and re-using data throughout the client lifecycle, client requests are handled quickly and efficiently avoiding duplication, excessive paperwork and unnecessary delays. Relationship managers use time previously spent on administration to focus on delivering consistent, high quality service and making every client interaction timely, appealing......
relevant regions
London, United Kingdom
WDX Onboard
By automating all of the data capture and due diligence processes involved in onboarding clients successfully, Onboard can radically cut costs, dramatically shorten onboarding times and generate 80% less administration. Client data captured before, during (and after) onboarding is validated and re-used throughout the client lifecycle, supporting a ‘capture once, use......
relevant regions
St Helier, Jersey
WealthXcel Onboard
Challenges today of onboarding Onboarding is a complex process to identify and verify potential customers. Done wrong, it is a frustrating, time consuming and messy process – which causes friction between you and the client. Traditionally, verifying people’s identity has been a mix of processes – blending paper, face-to-face and computer-based data......
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
Portland, OR, United States
Web Archive
A solution that makes compliance simple Ensure all changes on your website are captured, archived and searchable so you are prepared for regulatory or e-discovery events. Automatically capture web pages in their native format Maintain peace of mind with a solution that automatically captures web pages in their native format (including embedded videos)......
relevant regions
Geneva, Switzerland
Wecan Comply
A growing network We want to create the digital trust infrastructure of tomorrow. We value our ecosystem of pioneering partners What can you do with Wecan Comply? Standardization All your information/documents and doucments standardized and easily accessible through a unique platform. Secured A very secured, encrypted and closed network with no central administrator of the data.......
relevant regions
Geneva, Switzerland
Acton, MA, United States
WeChat Archiver
Capture and archive WeChat messages App on iOS or Android phone that looks and works exactly like the standard WeChat application Capture and archive WeChat messages App on iOS or Android phone that looks and works exactly like the standard WeChat application Captures all messages including text, multimedia communication and files The App forwards a......
relevant regions
Acton, MA, United States
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
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....
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......
London, United Kingdom
Woven Advice
Through the weave of data, we help IFAs and wealth managers identify areas for growth, efficiency ultimately increasing the value of your business....
relevant regions
Stanmore, United Kingdom
Wunderschild Know Your Network
Schwarzthal Tech is an innovative Regtech & FinTech company, creators of Wunderschild Know your network™ an AI-driven real-time platform providing graph-based financial crime intelligence. Intelligence as a Service: Complex Corporate Data (legal entities), Beneficiaries, Sanctions, Charges, Insolvencies, Peps & Adverse Media. ...
relevant regions
London, United Kingdom
Yoti Sign
Speed up your business processes with simple e-signatures We provide all the e-signing essentials your business needs to get documents signed faster. Choose our simple one-click authentication or get identity verification at the point of signing for no extra cost. Simple user interface It’s easy to get set up and start sending documents......
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......
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