Croesus Central is a solution that brings together modelling, automated rebalancing, and compliance management. This new product is characterised 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......

Client type

• Asset Managers
• Bank Wealth Managers
• Brokers/Broker-Dealers
• Digital Wealth Manager
• Family Offices
• Financial Advisors

Relevant Regions

• North America
• Western Europe

The Croesus Risk and Compliance Module can help wealth management professionals keep up with requirements to reduce the costs 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. From automating a......

Client type

• Asset Managers
• Bank Wealth Managers
• Brokers/Broker-Dealers
• Digital Wealth Manager
• Family Offices
• Financial Advisors

Relevant Regions

• North America
• Western Europe

Portfolio management system adapted to your reality To stand out, wealth management professionals need reliable, performing and secured technologies that are adapted to their needs. Croesus Xpert portfolio management system offers a variety of powerful tools and modules that help professionals increase their productivity and provide unparalleled service to their clients.......

Client type

• Asset Managers
• Bank Wealth Managers
• Brokers/Broker-Dealers
• Digital Wealth Manager
• Family Offices
• Financial Advisors

Relevant Regions

• North America
• Western Europe

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

• Asset Managers
• Bank Wealth Managers
• Brokers/Broker-Dealers
• Digital Wealth Manager
• Financial Advisors

Relevant Regions

• North America

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

• Asset Managers
• Bank Wealth Managers
• Digital Wealth Manager
• Financial Advisors

Relevant Regions

• Eastern Europe
• Western Europe

Automate the Ingestion, verification, normalisation and reconciliation of data from any source, including: PDFs (prospectuses, factsheets, KIIDs etc.). Spreadsheets. Websites. Data feeds Uses include: Create and maintain golden source data or compare to an existing source. Bulk-verify document content before publishing (e.g. monthly factsheet runs). Enrich data with customised calculations for use in regulatory or client reports. Automate investment......

Client type

• Asset Managers
• Bank Wealth Managers
• Brokers/Broker-Dealers
• Digital Wealth Manager

Relevant Regions

• Asia
• Eastern Europe
• Middle East
• North America
• Western Europe

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

• Asset Managers
• Bank Wealth Managers
• Digital Wealth Manager
• Family Offices
• Financial Advisors

Relevant Regions

• Africa
• Caribbean
• Eastern Europe
• Middle East
• North America
• South America
• Western Europe

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

• Asset Managers
• Bank Wealth Managers
• Digital Wealth Manager
• Family Offices
• Financial Advisors

Relevant Regions

• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• South America
• Western Europe

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

• Asset Managers
• Bank Wealth Managers
• Digital Wealth Manager
• Family Offices
• Financial Advisors

Relevant Regions

• Africa
• Caribbean
• Eastern Europe
• Middle East
• North America
• South America
• Western Europe

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

• Asset Managers
• Bank Wealth Managers
• Digital Wealth Manager
• Family Offices
• Financial Advisors

Relevant Regions

• Africa
• Caribbean
• Central America
• Eastern Europe
• North America
• South America
• Western Europe

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

• Asset Managers
• Bank Wealth Managers
• Digital Wealth Manager
• Family Offices
• Financial Advisors

Relevant Regions

• Africa
• Caribbean
• Eastern Europe
• Middle East
• North America
• South America
• Western Europe

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

• Asset Managers
• Bank Wealth Managers
• Digital Wealth Manager
• Family Offices
• Financial Advisors

Relevant Regions

• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• South America
• Western Europe

The Unblu Conversational Engagement Platform empowers wealth managers and advisors to deliver a human-driven advisory experience over convenient digital channels. By striking a balance between convenience and compliance, Unblu offers a secure and efficient solution for enhanced interaction and collaboration that is embedded into existing channels like a client portal or......

Client type

• Asset Managers
• Bank Wealth Managers
• Brokers/Broker-Dealers
• Digital Wealth Manager
• Family Offices
• Financial Advisors

Relevant Regions

• Eastern Europe
• North America
• Western Europe

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

• Western Europe

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

• North America
• Western Europe

Software for Modern Compliance Manage­ment Banks, financial service providers and insurance companies must identify compliance risks at an early stage. Otherwise, the risk of fines and reputational damage increases. But this is not the only reason why compliance teams want to be on the safe side. Rising costs and a lack of skilled......

relevant regions

• Asia
• Middle East
• North America
• Western Europe

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......

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

• Asia
• North America
• Oceania
• Western Europe

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

• Western Europe

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

• Asia
• Middle East
• North America
• Oceania
• Western Europe

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

• Oceania

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....

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

• Western Europe

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

• Western Europe

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......

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......

relevant regions

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• Western Europe

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......

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......

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

• Asia
• Eastern Europe
• North America
• Western Europe

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

• Middle East
• North America
• Western Europe

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

• Asia
• North America
• Western Europe

Customer Due Diligence We partner our technology with services from leading companies to provide AML checks via our online portal. We go beyond a one size fits all approach and provide of range checks for individuals and companies. Alternatively, configure custom AML checks to align with your Risk Based Approach. Support for......

relevant regions

• Western Europe

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

• Asia
• Eastern Europe
• Western Europe

The Indigita API takes in your specific, contextual information and returns clear regulatory answers, based on the content of the trusted BRP Country Manuals. With our API, you can integrate leading cross-border expertise with core banking systems, CRM applications and other digital platforms. The API enables your systems to provide answers......

relevant regions

• Asia
• North America
• Western Europe

For business teams Turnkey solutions for business teams that need access to compliance excellence. Apps - intuitive interfaces providing dos and don’ts on regulatory questions Chatbots - AI-driven digital assistants providing regulatory guidance For legal & compliance teams The definitive workspace for digital compliance excellence. Library - access a comprehensive repository of regulatory guidelines Governance - verify the applicability and accuracy......

relevant regions

• Asia
• Eastern Europe
• North America
• Western Europe

Verified regulatory content Base your decisions on the expertise of leading law firms. Our rules are maintained and verified by the world’s leading law firms. Meet multi-country scenarios - with Apiax Rules, financial organisations have access to verified regulatory compliance knowledge across key topics in more than 150 jurisdictions. Financial Services - rules covering restrictions on offering......

relevant regions

• Asia
• Eastern Europe
• Middle East
• North America
• Oceania
• Western Europe

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

• Western Europe

Our Platform The AQMetrics online platform seamlessly automates all of your risk, compliance and regulatory reporting needs. To find out more, click below to download our platform datasheet below. Why the AQMetrics Platform? Forward-thinking financial firms use the AQMetrics technology platform for end-to-end automation. Our platform automates your existing and emerging regulatory needs......

relevant regions

• Asia
• North America
• Western Europe

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

• Western Europe

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

• Oceania

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......

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......

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

• Western Europe

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

• Asia

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

• Western Europe

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

• Western Europe

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

• Western Europe

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

• Western Europe

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

• North America
• Oceania

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

• Asia

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......

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

• North America

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

• Western Europe

Understanding Your Needs Our Assist service has been designed not introduce any additional risks to your business. We achieve this by getting to know your business and the challenges you are looking to solve. Working with you we look at the options available to address the challenges as efficiently as possible. Our......

relevant regions

• Western Europe

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......

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,......

ATEB Suitability is an intelligent multi-product suitability report generator designed to offer Financial Advisers a simple, yet comprehensive tool to help streamline their advice process. We provide a smarter, more cost-effective, and compliant approach to producing your suitability reports....

relevant regions

• Western Europe

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

• Asia

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

• Middle East
• Western Europe

Avaloq Standard Adapter Compliance Solutions for Avaloq Core Banking System Avaloq is a global leader in banking software, services and digital technology. And now, thanks to the partnership between Avaloq and ACTICO, Avaloq’s clients can benefit from using the compliance offering as a standardized solution to combat money laundering and financial crime. Why......

relevant regions

• Asia
• Middle East
• North America
• Western Europe

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

• Western Europe

A fully-automated solution to improve KYC completion, and speed up your risk assessment and validation processes. Key Benefits 70% spared time - Reduce time spent sourcing and organizing data and documents, you can focus on valuable tasks. Improved partners' experience - Frictionless process in a white-label interface improves your image and your partner's......

relevant regions

• Western Europe

Key Features Multi-Level Overview - A dashboard to quickly access status updates and monitor onboardings, take corrective action where needed, and move the process forward. Workflow Management - Manage multiple clients and workflows across jurisdictions through a single, centralized platform. Multi-Jurisdictional Regulatory Management - Review investors across multiple jurisdictions against our daily updated......

relevant regions

• Western Europe

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

• Asia
• Western Europe

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

• Western Europe

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

• Asia
• Eastern Europe
• North America
• Western Europe

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......

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,......

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......

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......

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......

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

• Asia
• North America
• Western Europe

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

• Central America
• North America
• South America
• Western Europe

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......

A “Cyber Progam” is what regulators call the complete set of documents and plans you must have to be compliant: Written Information Security Policy (WISP) Business Continuity Plan (BCP) Security Incident Response Plan (SIRP) Vendor management The challenge to stay compliant gets deeper as documents with only policies are not enough for proof of compliance. Buckler created......

relevant regions

• North America

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

• Asia
• Western Europe

CAIS IQ seeks to build knowledge with courses ranging from alternative asset classes, to financial market thematics, to funds and solutions....

relevant regions

• North America

In the modern banking world, risk, compliance, and reporting teams face a myriad of evolving regulatory requirements emanating from Basel, the EBA, OSFI, the US Fed, and many regulatory jurisdictions and other frameworks and directives including CRR/CRD, IFR/IFD, broker-dealer net capital requirements. Firms’ efforts to grapple with these challenges are often......

relevant regions

• Asia
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• Western Europe

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

• Western Europe

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

• Asia
• North America
• Western Europe

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

• North America
• Western Europe

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

• Western Europe

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

• Western Europe

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

• Asia
• North America
• Oceania
• Western Europe

Browse Services Chainalysis Kryptos is the industry's reference directory for cryptocurrency services' on-chain activity. Search over a rapidly-growing list of 6,500 services and monitor their activity over time. Compile Service Profiles Make informed decisions about the cryptocurrency businesses you work with. Utilize the most comprehensive dataset in the industry to understand the on-chain......

Chainalysis Data Chainalysis KYT cryptocurrency compliance software is powered by the industry's best data. We map hundreds of millions of addresses to real-world entities, adding over 100 new services every week. This includes illicit services like darknet markets, scams, and ransomware, and legitimate services such as merchant services, decentralized cryptocurrency exchanges,......

Chainalysis data Chainalysis Reactor is powered by the industry's best data. We map hundreds of millions of addresses to real-world entities, adding over 100 new services every week. This includes illicit services like darknet markets, scams, and ransomware, and legitimate services such as DeFi platforms, mining pools, and merchant services. Search based......

relevant regions

• North America
• Western Europe

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

• Oceania

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

• Western Europe

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......

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• Asia
• Oceania
• Western Europe

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....

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• North America

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......

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......

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• Western Europe

ClearDil SDK workflow Fight facial spoof attack with video interview and liveness check, Verify identity through Government issued ID, and screen your customer with the world best Data Source. ClearDil scans your customers’ ID cards and authenticates them down to the last pixel. Benefits of our workflow Stop fraud at scale Boost customer acquisition Increase onboarding......

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......

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• Western Europe

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......

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• Asia
• Oceania
• Western Europe

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......

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• Western Europe

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

• Western Europe

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

• Western Europe

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 ...

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• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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......

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• North America
• Oceania
• Western Europe

Gabriel reporting becomes so much simpler as the system will produce the totals required for your RMAR / RegData report. Key Features: Supports commissions and fees Commission rules Simple receipting Powerful reporting Regulatory reporting ...

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• Western Europe

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......

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......

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• Western Europe

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......

All company information provided by Kyckr is sourced directly from corporate registries, enriched and standardised in real-time at the point of request. Unlike third-party, static data providers, the data we provide is always the most current and legally authoritative view of a company. The information is time and date stamped......

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• Western Europe

For organisations looking to move from periodic KYC checks to an event-driven approach, Company Watch automates the detection of material changes to company data without the need for extensive manual intervention. Our service takes the pain out of perpetual KYC by reducing cost and effort and acts as a critical......

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• Western Europe

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

• North America

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....

As your firm is growing, you need to set systems in place to ensure that everything is in compliance. That’s where Nitrogen Compliance comes in. Whether you’re a Chief Compliance Officer at a firm with thousands of advisors, or compliance is one of your many hats at your RIA, wealth......

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• North America

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......

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• North America

While every firm is bound to meet regulatory requirements, not everyone requires the same level of support. STP offers three tiers of compliance service to help you meet your obligations efficiently and cost-effectively. Support for Regulatory Filings Rely on STP to assist with the preparation of your regulatory filings. We also offer......

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• North America

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.......

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• North America

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

• North America

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......

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....

Most of the required data that compliance staff need is available in the core banking system Avaloq, but there is no standardised way to retrieve this data in a consolidated and efficient manner, nor are there any uniform processes. Compliance Client View (CCV) is the solution for the digitalisation and standardisation......

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......

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• North America

Next-Generation Rules Engine Traditional compliance solutions fail to highlight critical policy violations because of an inability to source data from disparate systems. To solve this industry bottleneck, STP has architected a cloud-based rules engine that can easily centralize unstructured data through extensive system and API integration. The flexibility of our rules engine has......

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• North America

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 ...

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• North America

Policies and Procedures Management Create and review policies, upload supporting files, archive content, and flag discrepancies with ease.  Disclosure Management Generate disclosures specific to each of your firm’s representatives and ensure your firm is exercising reasonable diligence, care, and skill in making recommendations.  Monthly Compliance Solution Confidently stay in compliance with our monthly compliance solution.......

relevant regions

• North America

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......

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• Western Europe

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......

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• Asia
• North America
• Western Europe

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 ...

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......

Practical, interactive and effective e-learning 40 - Courses written by subject matter experts 445 - Clients benefitting from our online courses 5,338 - Active delegates taking courses 25,518 - Certificates awarded About our online training Most FCA firms use an e-learning platform to provide and evidence their staff training. Our market-leading online system has over 5,000 active users and......

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• Western Europe

Preclearance and Disclosures Establish a digital process around the submission of preclearance requests and disclosures with a full audit trail of associated communications and outcomes. Trade Monitoring and Testing Follow your employees’ trade activity to prevent and proactively identify the potential misuse of material non-public information (MNPI). Certifications and Attestations Easily build digital certification or......

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• North America
• Western Europe

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......

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......

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......

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• Western Europe

Vestorly Intelligence Center® Vestorly’s Intelligence Center® is an advanced control panel that enables your team to configure, control and supervise all account activity of representatives and their audience. Monitor all accounts in real-time, while accessing enterprise-level intelligence across your organization. Whitelist and blacklist in order to approve or deny any content......

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• North America
• Oceania
• Western Europe

Promote Accountability. Reduces Risk. Flexible. Secure. ControlOps© is an auditor approved key application that eliminates the need for paper backup and manual checklists, shows a compliance calendar, 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......

relevant regions

• North America

Intelligent platform delivering award winning, connected, more accurate risk management and intelligence for business, risk and compliance teams to manage and benchmark business risks, increase resilience, reduce costs, protect revenue and business growth Unified data management of enterprise and operational risks Real time risk & fraud monitoring, automated decisions and actions Fast onboarding, configuration......

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......

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• Africa
• Asia
• Eastern Europe
• Middle East
• North America
• South America
• Western Europe

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......

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......

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......

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• Asia
• North America
• Oceania
• Western Europe

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......

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• Western Europe

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......

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• North America
• Western Europe

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......

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• North America
• Western Europe

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......

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• North America
• Western Europe

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

• North America
• Oceania
• Western Europe

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......

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......

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.......

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• Western Europe

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

• Western Europe

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......

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• Western Europe

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

• Western Europe

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

• Western Europe

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......

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

• Western Europe

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......

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......

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• Asia
• North America
• Western Europe

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......

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• Western Europe

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......

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......

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)......

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• Western Europe

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......

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• Western Europe

KYC Workflows - Real-Time KYC Automation Know Your Client processes have never been this easy. Automating onboarding and KYC forms means these processes become personalized, digital workflows. The end result is a dramatically better client experience, significant time savings, and improved compliance reporting. Bulk Repapering - Move your Entire Book of Business in a......

relevant regions

• North America

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......

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......

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• Asia
• Eastern Europe
• Western Europe

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.......

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• Asia
• Western Europe

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+......

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• North America
• Western Europe

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......

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• Asia
• North America
• Western Europe

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

• North America

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

• North America

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......

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• North America

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....

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

• North America

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......

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....

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......

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• Western Europe

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......

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......

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• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• Eastern Europe
• North America
• Western Europe

Our cross-border courses aim to mitigate risks while dealing with prospects and clients domiciled abroad. We have a wide range of compliance topics to be taught at all levels within your core business structure. All courses are available through Indigita’s own Learning Management System (LMS) or can be provided to......

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• Asia
• North America
• Western Europe

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

relevant regions

• Western Europe

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

• North America
• Western Europe

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......

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......

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• Western Europe

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......

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....

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

• Middle East
• North America
• Western Europe

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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• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• Western Europe

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....

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......

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• Asia
• Eastern Europe
• North America
• Western Europe

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......

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• North America

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 ...

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• Western Europe

ERIC is our proven GRC solution that automates your GRC activity and improves your Risk and Compliance Management. Intuitive Interface ERIC is a highly intuitive and interactive platform. All modules are interlinked, as relevant, enabling your GRC team to have an overarching view. Interactive Dashboards ERIC has a rich reporting functionality that includes interactive......

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• Western Europe

Discover how financial institutions can leverage existing processes, people and data for ESG, creating a single client view and driving real, tangible efficiencies. Manage Compliance and Reduce Risk - Future-proof compliance with upcoming additions and amendments to ESG-related regulations and standards, including SFDR, CSRD, EU Taxonomy, TCFD, GRI, ISSB, UNGC and......

relevant regions

• Asia
• North America
• Oceania
• Western Europe

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

• Middle East
• North America
• Western Europe

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

• North America
• Oceania

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......

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

• Western Europe

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......

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• Asia
• North America
• Western Europe

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......

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. ...

Fenergo Know Your Customer offers a risk-based approach to KYC compliance that efficiently focuses resources on higher-risk clients and ensures lifecycle compliance with local and global KYC regulations. Reduce Risk and Manage KYC Compliance - Future-proof compliance with Fenergo's continuous risk monitoring process and risk-based approach to KYC. Improve Operational Efficiencies -......

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• Asia
• North America
• Oceania
• Western Europe

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

• Middle East
• Western Europe

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

• Oceania

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......

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• Asia
• North America
• Western Europe

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

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• Asia
• North America
• Western Europe

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

• Western Europe

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

• Western Europe

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

• Western Europe

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

• North America
• Western Europe

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

• Caribbean
• Western Europe

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......

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

• Asia
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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......

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• Asia
• North America
• Oceania
• Western Europe

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......

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......

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....

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• Western Europe

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......

100% data accuracy, 0% effort Automatically Reconcile - Automatically reconcile your data with any dissemination platform, including Morningstar, Bloomberg, and Refinitiv. Establish and maintain TPA SLAs - Set and forget rules to verify upstream data is sent on time within SLAs (e.g. checking to make sure a price file is generated by a......

relevant regions

• Asia
• North America
• Western Europe

Fundi Data Management is your core data platform It lets you collect, store, distribute, and verify all your static and dynamic product data from one place, so you can slash admin, stay compliant, and be more efficient, effective, and agile. Flexible Data Schema - Delivers data governance out of the box and......

relevant regions

• Asia
• North America
• Western Europe

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

• Asia
• Central America
• Middle East
• North America
• Oceania
• Western Europe

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

• North America

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

• North America

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....

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....

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

• North America

Build generational trust with your clients and their families by delivering important documents and information in the fastest, easiest, and most secure way....

Strengthen your relationships by streamlining workflows and securely delivering key documents in one centralized and convenient location....

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......

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......

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......

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......

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......

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

• Western Europe

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

• Africa
• Asia
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• North America
• Oceania
• Western Europe

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

• North America

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......

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,......

Streamline customer onboarding with a comprehensive view and perform multiple checks, including identity, biometrics, AML screening, and more with KYC Hub's Global KYC solution. Stay updated on customer status with real-time alerts from our proprietary Smart Data Hub scanning millions of sources. Make remediations smarter with Global KYC. Our solution combines......

relevant regions

• Asia
• North America
• Western Europe

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

• Asia
• North America
• Western Europe

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

• North America
• Western Europe

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

• North America
• Western Europe

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

• North America
• Western Europe

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

• North America

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......

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• North America
• Western Europe

Continuously updated, the product fulfils all requirements according to the latest specification of the Swiss Federal Tax Administration FTA: "FATCA Information Delivery - Technical Specification and User Guide"....

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......

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

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• Asia
• North America
• Western Europe

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

• Asia
• North America
• Western Europe

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,......

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• Africa
• Asia
• North America
• Oceania
• Western Europe

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

• Eastern Europe
• Western Europe

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......

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• Asia
• Middle East
• North America
• Oceania
• Western Europe

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 ...

Hybrid UCAN Comply's digital interaction workspaces blend structure and automation with human interaction. Secure Bank-grade security and compliance workspace for file sharing and interactions during lifetime. Streamlined Designed for streamlining compliance, vendor, and partner projects. At a glance Hybrid Compliance™ is a revolutionary approach  to fractionalise compliance resources. We offer a way to request compliance advice, projects and......

relevant regions

• Middle East
• Western Europe

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

• Asia
• Middle East
• Western Europe

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....

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 ...

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......

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....

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......

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• Asia
• Middle East
• Western Europe

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

• Western Europe

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

• Western Europe

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

• Asia
• North America
• Western Europe

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......

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......

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

• Western Europe

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

• North America

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

• North America

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

• Western Europe

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

• Western Europe

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

• Western Europe

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

• Asia
• North America
• Western Europe

“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......

Political Contribution Compliance Real-time political contribution monitoring and intelligence to ensure pay-to-play compliance with SEC Rule 206(4)-5, MSRB Rule G-37, FINRA Rules 203 & 4580, CFTC Regulation 23.451, as well as state and local pay-to-play regulations. Public Records Search Real-time search, across thousands of public records datasets. Public Records Monitoring Search and monitor any public......

relevant regions

• North America

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

• Oceania

The inApp offers instant, context-dependent answers on regulatory questions straight to your mobile device or computer. Ensure your company’s interactions with clients and prospects domiciled abroad are compliant and minimise cross-border risk....

relevant regions

• Asia
• North America
• Western Europe

We adapt your organization In view of your current situation we propose a new organization to comply with regulatory requirements. For this purpose, we provide you with an internal documentation set as required. We implement an all-in-1 System We implement Wize and customize it for you, including the connection with custodian banks. As an all-in-one system......

relevant regions

• Western Europe

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

• North America

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

• Western Europe

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......

relevant regions

• North America

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......

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

• Eastern Europe
• North America
• Oceania
• Western Europe

  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;......

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

• North America

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

• North America

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

• North America

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......

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

• Western Europe

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....

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

• North America

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

• North America
• Western Europe

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

• Asia

Virtual Desktop The Virtual Desktop, powered by AWS, delivers a fully personalized and familiar desktop experience, with all the security and simplicity of centralized management for your firm. Wherever you are in the world, you can count on VDI to empower you with fast, compliant, and secure access to your desktop......

relevant regions

• North America

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

• North America
• Western Europe

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

• North America
• Western Europe

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......

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......

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......

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......

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

• Eastern Europe
• Western Europe

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

• Western Europe

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”......

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,......

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......

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

• Western Europe

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

• Western Europe

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

• Asia
• Western Europe

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

• Western Europe

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

• Asia
• Eastern Europe
• Middle East
• North America
• South America
• Western Europe

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

• Western Europe

It focuses on streamlining and automating the back-office of any due diligence process. You can define and manage all regulatory and policy requirements whilst automating and managing the entire process from onboarding relationship management all throughout the automation of ongoing aspects of KYC. KYCP takes the guesswork and fragmented task delegation......

relevant regions

• Africa
• Eastern Europe
• Middle East
• North America
• South America
• Western Europe

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

• Asia
• Western Europe

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

• Asia

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

• Western Europe

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

• Asia
• North America
• Western Europe

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

• Asia
• Western Europe

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......

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......

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

• Western Europe

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

• Asia
• North America
• Western Europe

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

• North America

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

• North America
• Western Europe

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

• Asia
• Eastern Europe
• North America
• Oceania
• Western Europe

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......

relevant regions

• Asia
• North America
• Western Europe

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

• Western Europe

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

• North America

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

• Western Europe

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

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

We’ve re-thought every aspect of the compliance experience, from reviews to reporting. Our platform is designed to ease the burden that comes with compliance oversight, giving you all the tools you need to efficiently fulfil your compliance obligations....

relevant regions

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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......

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......

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......

Since January 1, 2020, the Swiss Money Laundering Reporting Office (MROS) only accepts electronic reports via the goAML system. Confinale has developed a fully integrated goAML reporting solution in Avaloq. Money Laundering Reporting offers the maximum possible degree of automation and a user-friendly and clearly structured user-interface. The tool is a fully......

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

• Asia
• North America
• Western Europe

Safeguard company data with robust security controls MultiLine encrypts voice and text messages and stores only basic call information on the device. The MultiLine mobile app can be secured with popular EMM / MAM software and deleted from an employee’s phone in seconds, over the air. Mobile recording for compliance and quality......

relevant regions

• North America
• Western Europe

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

• Africa
• Asia
• Eastern Europe
• North America
• Oceania
• Western Europe

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......

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

• Western Europe

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

• Western Europe

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

• Western Europe

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

• Western Europe

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

• Western Europe

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......

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

• North America

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......

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

• Middle East
• North America
• Western Europe

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 ...

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......

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......

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.......

Data source for tax on offshore investments and Excess Reportable Income (ERI). The ORF solution transforms the time-consuming, labour-intensive tasks of identifying funds, determining tax liabilities, and reporting for foreign investments and excess reportable income (ERI) into a simple, streamlined process....

relevant regions

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• Western Europe

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......

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

• Asia
• Western Europe

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......

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

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• Western Europe

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

• Asia
• North America
• Western Europe

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

• Western Europe

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......

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

• North America
• Western Europe

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

• Western Europe

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.   ...

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......

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

• Oceania
• Western Europe

In addition, PEAK automatically scans for new regulatory papers every day and intelligently analyses these papers for potential impacts on a model, using your mappings of regulations to capabilities. Along with the ability to visualise those impacts in bulk across multiple regulatory changes, this means you can manage your response......

relevant regions

• Western Europe

An optional additional module provides the ability to not just report those controls but to actively manage them and oversee compliance. The result is a comprehensive SMCR solution which enables clients to be confident that all angles have been covered, nothing has been forgotten and appropriate controls are established and......

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

• North America

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......

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......

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

• Asia
• North America
• Oceania
• South America
• Western Europe

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

• Western Europe

What is PortALL? The PortALL App is designed to enhance and simplify your business compliance processes as well as enhance the central monitoring of your compliance processes. It streamlines the exchange of data between the Compliance Officer and employees at the firm and also between the Compliance Officer and Cosegic, if......

relevant regions

• Western Europe

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

• North America

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......

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

• North America
• Western Europe

Comprehensive coverage Practifi Protect gives you comprehensive protection so your firm can protect client data, improve oversight and proactively prepare for audits as you continue to scale. Protect client data Protect sensitive client data with the highest level of security available. Encrypt data at rest across all your Practifi apps so personal and financial......

relevant regions

• Central America
• North America
• Oceania
• South America

PredictR is a modular set of industrialised software components to manage and forecast credit risk requirements. The PredictR toolkit enables high speed and accurate regulatory compliance optimising operational performance whilst delivering additional business value. Including a Basel Calculation Engine, Credit Risk Forecaster, and expert credit and financial risk consultancy provided by......

relevant regions

• Africa
• Middle East
• Western Europe

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

• Western Europe

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

• North America

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

• Western Europe

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

• North America

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....

"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

• Asia
• Western Europe

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

• North America
• Western Europe

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

• North America

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......

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

• Western Europe

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

• Western Europe

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

• Western Europe

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

• North America

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

• Western Europe

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

• Asia
• North America
• Oceania
• South America
• Western Europe

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......

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......

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

• Asia
• North America
• Western Europe

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......

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

• North America

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......

  RPS offers 4 essential services: Data Protection Static and dynamic protectyion for confidential customer data, with all of our protection libraries: Anonymization, pseudonymization, encyption, and tokenization. Data Compliance The challenge is to provide security and compliance reports automatically, in real time that are auditable. These reports play the role of proof where all protection and......

relevant regions

• Western Europe

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......

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......

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......

Comprehensive ID verification solution for fully automatic reading and authentication of passports, ID cards, driver’s licenses, visas, and other identity documents....

relevant regions

• Eastern Europe
• Middle East
• North America
• Western Europe

Cross-platform biometric verification solution for a digital identity verification process with liveness detection, face matching and identification....

relevant regions

• Eastern Europe
• Middle East
• North America
• Western Europe

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

• Asia
• North America
• Oceania
• Western Europe

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

• Asia
• North America
• Western Europe

Two parallel developments are driving a bank’s agility to banking compliance regulations initiatives. First is, ‘SupTech’ that helps supervisors in managing banking regulations and compliance of the licensed units, prominent among them being Aurep and FCA’s Digital Regulatory Reporting (DRR). The second development is the emergence of ‘RegTech’. This is done by players who......

relevant regions

• Asia
• Middle East
• North America
• Western Europe

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

• Asia
• Eastern Europe
• Western Europe

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

• North America

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

• Western Europe

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......

Regulatory reporting scope has seen a phenomenal increase over the last decade in both complexity and scrutiny, placing more controls and governance requirements onto reporting institutions. With a global financial market, this is compounded through a plethora of jurisdictional specific requirements that an institution must comply with. In parallel with......

relevant regions

• North America
• Western Europe

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

• Western Europe

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

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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......

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

• Asia
• Eastern Europe
• Middle East
• North America
• Oceania
• Western Europe

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relevant regions

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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......

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....

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

• Western Europe

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

• Western Europe

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

• Western Europe

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

• Western Europe

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......

relevant regions

• Asia
• North America
• Oceania
• Western Europe

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

• Western Europe

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......

Compliance Program Management Establish and scale your compliance program. The comprehensive compliance program management technology provides critical functionality for day-to-day and strategic compliance activities, including registration tracking, compliance activity logging, and risk assessment. Private Fund Adviser Compliance Software and Services Access a customized version of the platform designed exclusively for private fund advisers.......

relevant regions

• North America

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

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• Oceania
• South America
• Western Europe

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

relevant regions

• Africa
• Asia
• Caribbean
• Central America
• Eastern Europe
• Middle East
• North America
• South America
• Western Europe

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

• Western Europe