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Compliance

October 9, 2014 - Deutsche Bank today announced that Elizabeth J. Ford (Jan) will join as a Managing Director and Head of Compliance, Americas. She will join the North America Executive Committee.

October 8, 2014 - Linedata (NYSE Euronext: LIN), the global solutions provider dedicated to the investment management and credit industries, today announced the introduction of Linedata Disclosure Manager, an automated compliance monitoring service.

August 21, 2014 - Perseus Telecom, a leading provider of high-speed global connectivity, High Precision Time™ and Market-to-Market networks, announced today trading access and time verification is now available for Eris Exchange Swap Futures accessible at Equinix data centres in Chicago, London and Tokyo.

July 30, 2014 - The financial services industry must focus on innovation to drive productivity and economic growth, John Brogden, CEO of the Financial Services Council said today. Speaking at the launch of the 14th annual FSC-DST CEO Survey Mr Brogden said over the past three years the financial services industry has focused nearly one hundred per cent of its time and resources implementing processes to comply with new regulation.

September 29, 2014 - Swift will give free access to its new KYC Registry throughout 2015 to banks that contribute their own data to the service.

August 8, 2014 - CCL, the international GRC consultancy, has launched a unique compliance platform that combines continually updated compliance content with an automated delivery system.

July 23, 2014 - Interactive Data, a leading provider of independent evaluated pricing and reference data services, today announced that the firm is well-positioned to help its money market fund clients comply with today's SEC final ruling requiring floating net asset values ("NAVs") for institutional prime money market funds and permitting the use of redemption gates and liquidity fees.

September 24, 2014 - The Securities and Exchange Commission today charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to ensure the firm did not run afoul of any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008.

August 7, 2014 - Redfall Technologies Inc. ("Redfall") d/b/a "Vogogo", a payment processing specialist, and Southtech Capital Corporation ("Southtech") (a TSX Venture Exchange listed Capital Pool Company) are pleased to announce that further to the press release of Southtech on May 7, 2014, they have completed a brokered and non-brokered private placement of 11,333,333 subscription receipts ("Subscription Receipts") of Redfall at a price of $0.75 per Subscription Receipt for gross proceeds of $8,500,000 (collectively, the "Financing").

July 22, 2014 - Interbank messaging network Swift has signed up another six major banks to its KYC Registry initiative as it gears up for a launch at the end of this year.

September 22, 2014 - Wolters Kluwer Audit, Risk & Compliance announced today the integration of a comprehensive data analysis tool set within the industry-leading TeamMate Audit Management System.

August 4, 2014 - Path Solutions is proud to announce that its flagship product iMAL, has been named winner of the CFI.co 2014 Awards in the category of 'Best Sharia-Compliant Banking Systems'. Path Solutions is a global application software and services firm for the Islamic financial services industry. The company provides cutting-edge Sharia-compliant technologies that can add value and increase ROI, while improving product innovation, customer satisfaction, operational efficiency and risk management.

July 21, 2014 - New research by BNY Mellon, a global leader in investment management and investment services, highlights a compliance shortfall among alternative investment funds (AIFs) on the eve of the deadline for Alternative Investment Fund Managers Directive (AIFMD) authorisation.

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