Tags Regulatory Technology

Tag: Regulatory Technology

Expanding global cooperation: How new jurisdictions commit to CRS exchanges

On 23 April 2024, the Organization for Economic Co-operation and Development (OECD) published a pivotal update, listing jurisdictions newly committed to the Automatic Exchange of Information (AEoI) and CRS Reporting. Taina Tech, which offers a fully automated FARCA and CRS validation platform, has recently commented on what these changes mean. 

Novibet and FullCircl’s W2 forge new paths in digital compliance for...

Novibet, a global leader in online betting, has announced a new partnership with FullCircl’s identity solutions platform, W2, to enhance its digital compliance capabilities.

Dot Compliance’s $17.5m funding round fuels AI innovation in life sciences...

Dot Compliance, a pioneering RegTech company, announced today that it has raised $17.5m in a Series B extension funding round.

Beyond finance: How compliance is expanding to combat workplace misconduct

In the financial sector, the spotlight has recently intensified on non-financial misconduct, spurred by the Financial Conduct Authority's (FCA) focused initiatives and investigations into issues like sexism, bullying, and discrimination.

How KYC and AML innovations are shaping the future of FinTech

On 14 March 2023, FullCircl led a significant assembly of the UK's premier financial crime and compliance authorities to impart crucial insights and strategies in anti-money laundering (AML), compliance, and anti-fraud that are setting financial institutions (FIs) apart in the competitive arena.

Combating business email compromise: Strategies for financial firms

In the ever-evolving landscape of financial crimes, firms across the globe are grappling with the challenge of safeguarding their operations and reputation. Among the myriad of schemes that threaten the integrity of financial institutions, Business Email Compromise (BEC) stands out for its cunning simplicity and potentially devastating impact.

The role of KYC Portal in real-time risk assessment

In an age where the regulatory landscape is as unpredictable as ever, and the integrity of businesses hangs by a thread, companies are increasingly leaning on the forefront of technology to shield themselves from unforeseen risks.

The impact of global events on FinTech compliance and risk management

In the intricate world of FinTech, the geopolitical landscape plays a pivotal role in shaping compliance and regulatory frameworks. The aftermath of the Russian invasion of Ukraine in February 2022 has dramatically altered the sanctions regime, presenting unprecedented challenges for financial institutions (FIs). This seismic shift, marked by a surge in sanctions against various entities and individuals, underscores the necessity for FIs to adapt swiftly to remain compliant.

Navigating new SEC rules: A guide for private fund advisers

The U.S. Securities and Exchange Commission (SEC) introduced a significant regulatory update on August 24, 2023, impacting private fund advisers through the adoption of the Private Fund Adviser Rules. This regulatory shift comprises several key components aimed at enhancing transparency and safeguarding investor interests. Among these, the Adviser-led Secondaries Rule and the Annual Fund Audits Rule stand out for their direct impact on fund management practices, accompanied by the amendment to the compliance review documentation requirements.

Fenergo and AWS team up to revolutionise financial institutions’ KYC and...

Fenergo, a leading provider of digital solutions for Know Your Customer (KYC), Transaction Monitoring, and Client Lifecycle Management (CLM), has announced the availability of its software-as-a-service (SaaS) CLM solution on AWS Marketplace.

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