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Compliance

May 27, 2015 - National Regulatory Services (NRS), part of Accuity, today announced the release of the ComplianceMAX (cMAX) Customer Complaints Module, created to allow its users to confidently manage, utilize and archive information pertaining to customer complaints. The module helps broker-dealers comply with FINRA Rule 4530 by centralizing all customer complaint information into a configurable workflow and automating FINRA filings.

May 13, 2015 - Thomson Reuters, the world's leading source of intelligent information for businesses and professionals, has published the findings of its sixth annual Cost of Compliance survey which revealed that regulatory fatigue, resource challenges and personal liability are expected to increase throughout 2015.

January 26, 2015 - Avaloq Sourcing Asia Pacific, a wholly owned subsidiary of Avaloq group, announces the recruitment of Andre Di Prospero as Head of Risk & Compliance and Matthew Thoms as Head of Technology at their Business Process Outsourcing (BPO) centre in Singapore.

December 23, 2014 - Deutsche Börse, the official Index Administrator of the DAX index family and other leading financial market indices, today announced that the indices comply with the International Organisation of Securities Commission's (IOSCO) Principles for Financial Benchmarks. Deutsche Börse has published the Letter of Compliance on the company's website.

May 12, 2015 - Linedata (NYSE Euronext: LIN), the global solutions provider dedicated to the investment management and credit industries, today announced that Capital Advisors Group has implemented Linedata Compliance for its institutional separate account business.

January 19, 2015 - An upturn in business volumes and increase in compliance demands is encouraging UK financial firms to raise IT budgets in a bid to reach new customers and shake off competition from new market entrants, according to the latest quarterly survey from the Confederation of British Industry (CBI) and PwC.

December 15, 2014 - Wolters Kluwer Financial Services announced today that its regulatory analysis team has been awarded "Best Editorial Team" at the 11th annual Compliance Register Platinum Awards. The awards program, hosted in London, recognizes individuals, teams and companies that demonstrate exemplary service to compliance and regulation.

May 5, 2015 - Risk management and payment processing specialist Vogogo Inc. ("Vogogo") (TSX VENTURE:VGO) today announced the integration of its proprietary compliance, risk management and payment processing platform with leading Bitcoin exchange Bitstamp.

January 15, 2015 - Misys, a leading provider of software solutions to financial services institutions, announces that it has added connectivity to DTCC for its Misys Regulatory Reporting Service.

December 8, 2014 - Black Mountain Systems, a software company that develops innovative, tailored data and process management solutions for global asset managers, unveiled their new Compliance Management module of their award-winning Everest platform today at the CLO Summit in Monarch Beach, CA.

April 22, 2015 - CounterpartyLink (CPL), an independent provider of evidence-based legal entity intelligence for buy- and sell-side institutions and law enforcement agencies, today announced it has been named Best Compliance Product in the Sell Side Technology Awards 2015. The awards are to recognise the leading institutions, teams, products, services and third-party vendors in their area of expertise through an auditable and transparent methodology, and underpinned by the input and experience of eight judges.

January 8, 2015 - Regulatory experts from Wolters Kluwer Financial Services have identified a list of top compliance issues facing U.S. financial institutions in 2015. Heightened regulatory scrutiny, together with the enactment of major new regulations and pending rule changes, will represent significant challenges of varying impact for financial institutions from an operational, procedural, governance, staffing, and technology standpoint, including:

December 2, 2014 - Wolters Kluwer Financial Services announced today that Security Bank & Trust Co. of Glencoe, Minn. has selected its ComplianceOne loan and deposit origination and workflow solution.

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