Broadridge Acquires Innovative Compliance and Surveillance Solution for Broker-Dealers
Trading & brokering

Broadridge Acquires Innovative Compliance and Surveillance Solution for Broker-Dealers

1m | Broadridge Financial Solutions

Broadridge Acquires Innovative Compliance and Surv...

Broadridge Financial Solutions, a global Fintech leader, today announced that it is further enhancing its regulatory compliance capabilities for broke...

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Compliance and client onboarding: Who should deliver it?
Banking

Compliance and client onboarding: Who should deliver it?

2y | By Matt Law, Chief Technology Officer

Compliance and client onboarding: Who should deliv...

Given the importance and complexity of the compliance process, it is only natural to consider outsourcing the checks needed to perform for client onbo...

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Video: Asset managers turn to data for multijurisdictional disclosure requirements
Asset management

Video: Asset managers turn to data for multijurisdictional disclosure requirements

2y | By David Beach, Reporter

Video: Asset managers turn to data for multijurisd...

Asset managers working across a variety of regimes are faced with an uphill struggle with the volume of data required to comply with shareholder discl...

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6 best practice principles to client & counterparty data management
Trading & brokering

6 best practice principles to client & counterparty data management

2y | By Niall Twomey, Chief Technology Officer

6 best practice principles to client & counterpart...

The role of client and counterparty risk management has assumed greater strategic importance over the last few years in light of heightened regulatory...

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Risk management: new challenges, opportunities, and software
Trading & brokering

Risk management: new challenges, opportunities, and software

2y | By Michael McCaw, Editor

Risk management: new challenges, opportunities, an...

Over the past few decades, the way banks, financial institutions and corporates have approached risk management has changed seismically. While risk ma...

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Citi’s Fenwick: Cost of compliance hitting banking
Banking

Citi’s Fenwick: Cost of compliance hitting banking

2y | By Michael McCaw, Editor

Citi’s Fenwick: Cost of compliance hitting banking

The cost of regulatory compliance for international banks has become too burdensome and has started to impact the market, according to Anthony Fenwick...

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Algo-assistance: The compliance vs profit margin battle | AssetManTech Series
Asset management

Algo-assistance: The compliance vs profit margin battle | AssetManTech Series

2y | By David Beach, Reporter

Algo-assistance: The compliance vs profit margin b...

Caught between the rock of regulation and the hard place of fee reduction, it's currently a difficult climate for banks and asset managers.  ...

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Banks forced to turn to machine learning to tackle compliance burdens
Banking

Banks forced to turn to machine learning to tackle compliance burdens

2y | By David Beach, Reporter

Banks forced to turn to machine learning to tackle...

Banks are increasingly turning to machine learning to innovate heavily manual and costly middle and back office mission critical compliance management...

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From the ground up: Building a compliance analytics program
Trading & brokering

From the ground up: Building a compliance analytics program

3y | Tier1 Financial Solutions

From the ground up: Building a compliance analytic...

In the fight against financial crimes, today’s organizations must focus on building compliance programs that are increasingly driven by analytic...

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Sanctions compliance: a fresh warning for the air cargo industry
Trading & brokering

Sanctions compliance: a fresh warning for the air cargo industry

3y | By Byron Mckinney, Product Owner - Commodity Trade Finance

Sanctions compliance: a fresh warning for the air ...

Recent news that a Maersk company carried arms components from North Korea to Egypt – in violation of international sanctions – acts as a ...

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The secret of insurtech’s chatbots: frontend charm, backend efficiency
Insurance

The secret of insurtech’s chatbots: frontend charm, backend efficiency

3y | By David Beach, Reporter

The secret of insurtech’s chatbots: frontend charm...

With the convergence of machine learning and growth in popularity of customer-centric approaches driven by the wider financial industry, chatbots have...

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How to simplify trade reconstruction
Trading & brokering

How to simplify trade reconstruction

3y | By Will Davenport, Major Accounts - Manager

How to simplify trade reconstruction

Evolving regulatory requirements are resulting in complex challenges for financial institutions around the globe. No longer just a ‘nice to have...

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How tighter compliance can boost the reputation and value of ICOs
Trading & brokering

How tighter compliance can boost the reputation and value of ICOs

3y | By Michael LaScola, Business Solutions Specialist

How tighter compliance can boost the reputation an...

In 2017 Initial Coin Offerings (ICOs) became the hottest new tool for startups, and transitioned from being a relatively unknown fundraising method us...

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Data capitalism: How compliance provides competitive advantage for fintechs
Banking

Data capitalism: How compliance provides competitive advantage for fintechs

3y | By Tobias Holger Hansen, Chief Legal Officer

Data capitalism: How compliance provides competiti...

Compliance with legislation is a basic condition for all businesses. However, few industries are as regulated as the financial sector. Since the finan...

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Entry level analytics and compliance
Trading & brokering

Entry level analytics and compliance

3y | By Will Davenport, Major Accounts - Manager

Entry level analytics and compliance

It has become apparent that customers interact with organisations in more ways than ever before – email, social media, instant messaging and mob...

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Digital onboarding: The Missing link in GDPR compliance
Banking

Digital onboarding: The Missing link in GDPR compliance

3y | By Peter Fitzpatrick, Director of Market Development

Digital onboarding: The Missing link in GDPR compl...

As the May 25 2018 deadline for GDPR compliance looms, financial institutions are busily preparing to offer their customers better data protection and...

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Compliance and collaboration: Key data projects for banks in 2018
Banking

Compliance and collaboration: Key data projects for banks in 2018

3y | By David Beach, Reporter

Compliance and collaboration: Key data projects fo...

bobsguide's Dave Beach caught up with data infrastructure architects DataStax to learn more about the challenges and opportunities financial ...

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Securing open source leading up to GDPR enforcement
Asset management

Securing open source leading up to GDPR enforcement

3y | By Matt Jacobs, Vice President and General Counsel

Securing open source leading up to GDPR enforcemen...

Open source continues to transform how we architect software solutions in every industry. Black Duck’s 2017 Open Source Security and Risk Analys...

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