National Regulatory Services Releases ComplianceMAX Customer Complaints Module
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.
Thomson Reuters publishes cost of compliance survey
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.
Capital Advisors Group selects Linedata to address compliance workflows
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.
Bitstamp integrates Vogogo compliance and risk management tech
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.
CounterpartyLink Named Best Compliance Product in Sell Side Technology Awards 2015
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.
Avaloq Sourcing Asia Pacific names Andre Di Prospero head of risk & compliance
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.
IT budgets up as business volumes improve - CBI/PwC
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.
Misys regulatory reporting service connects to DTCC repository
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.
