Compliance Archives - Institutional Asset Manager

FundApps enhances Position Limits service

September 21, 2020

FundApps has enhanced its Position Limits service with the launch of Room-In-A-Name, which aims to to help bridge the gap between Compliance teams and Traders. Read

Smith & Williamson selects Broadridge’s SRD II compliance solution

September 15, 2020

Broadridge Financial Solutions is to provide Smith & Williamson Group, a financial and professional services firm in the UK and Ireland, with its Shareholder Rights

New Chief Operating Officer named at SteelEye

September 8, 2020

Compliance technology and data analytics firm SteelEye has appointed Rob Friend as Chief Operating Officer, effective immediately.Read the full story at Hedgeweek…

SmartStream develops derivatives component for MiFID SI Regime to meet September deadline

September 8, 2020

SmartStream Technologies, a financial Reference Data Utility (RDU) solutions provider, is now supporting derivatives in its Systematic Internaliser (SI) Registry service, to help clients meet

ACA Compliance Group launches ComplianceAlpha app for mobile devices

August 18, 2020

ACA Compliance Group (ACA), a provider of governance, risk, and compliance advisory services and technology solutions, has launched the mobile app version of its ComplianceAlpha

SteelEye and Margin Reform partner to provide client compliance solutions

August 13, 2020

SteelEye has partnered with Margin Reform to provide its clients with ‘best-in-breed’ compliance and regulatory reporting solutions. Read the full story at Hedgeweek…

eflow partners with IP Sentinel to provide trade and communication surveillance solution

August 7, 2020

Regulatory compliance solutions specialist eflow has formed a new partnership with IP Sentinel in response to the recent FCA Thematic Review, which clearly set out

Sterling Trading Tech launches compliance & audit trail reporting solution in Brazil

August 5, 2020

Sterling Trading Tech (STT), a specialist in compliance, risk and infrastructure solutions for equity, options and futures trading, has expanded its compliance and reporting solutions

Maitland enhances AML compliance services in Luxembourg

July 22, 2020

Maitland, a global advisory and fund administrator, is enhancing its AML regulatory compliance capabilities to meet rising demand among Luxembourg fund managers.Driving the need for

Broadridge signs record number of new clients to SRD II solution

July 14, 2020

Broadridge Financial Solutions has announced a record number of new signings for its Shareholder Rights Directive (SRD II) solution. Broadridge is now onboarding these new clients,

Compliance

FundApps enhances Position Limits service

Smith & Williamson selects Broadridge’s SRD II compliance solution

New Chief Operating Officer named at SteelEye

SmartStream develops derivatives component for MiFID SI Regime to meet September deadline

ACA Compliance Group launches ComplianceAlpha app for mobile devices

SteelEye and Margin Reform partner to provide client compliance solutions

eflow partners with IP Sentinel to provide trade and communication surveillance solution

Sterling Trading Tech launches compliance & audit trail reporting solution in Brazil

Maitland enhances AML compliance services in Luxembourg

Broadridge signs record number of new clients to SRD II solution

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