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Industry News

The PBC, NDRC and Four Other Authorities Jointly Release the Work Plan for Coordinated Regulation of Financial Infrastructures
15 March 2020
In order to strengthen the construction of financial infrastructure, coordinate the regulation of important financial infrastructures and improve the capability of the financial sector to serve the real economy as well as forestall and defuse financial risks, PBC, NDRC and Four Other Authorities Jointly Release the Work Plan for Coordinated Regulation of Financial Infrastructures.

EBA suspends EU banks’ stress tests over coronavirus impact
13 March 2020
The European Banking Authority (EBA) is postponing an EU-wide stress test exercise as coronavirus spreads across the bloc. The EBA is giving CAs flexibility to react to the coronavirus. According to the regulatory agency, addressing the operational challenges brought about by market instability takes precedence.

CFPB files account fraud lawsuit against Fifth Third Bank
12 March 2020
The Consumer Financial Protection Bureau (CFPB) has filed a lawsuit against Fifth Third Bank, claiming the institution opened accounts and activated lines of credit without customer knowledge.

Financial regulators address the economic & operational effects of COVID-19
12 March 2020
Financial regulators across the globe have issued statements announcing precautionary measures to address the economic impact of the coronavirus (COVID-19), signalling a growing willingness to intervene.

FCA plans market changes to simplify mortgage switching
10 March 2020
The UK’s Financial Conduct Authority (FCA) has outlined its intentions to shake up the mortgage market. The watchdog found that as many as 800,000 people have been left £1,000 out of pocket every year. According to their research, poorer and older households are failing to switch mortgage providers even when better deals are available on the marketplace. The FCA wants to encourage mortgage owners to switch and save.

FCA to review data and analytics in wholesale financial markets
10 March 2020
The UK’s Financial Conduct Authority (FCA) has issued a call for input (CFI) as part of a review in how wholesale financial markets use data and advanced analytics. The FCA wants to know if participants have concerns over how data is sold or used. The FCA plans to use its CFI to determine whether it needs to do further work to address any harm that it identifies, and to study the value offered to market participants and whether systems are competitively sold and priced.

Previous industry news

FCA admits data breach

25 February 2020
The UK’s top regulator has referred itself to the Information Commissioners Office after suffering a data breach that revealed the names and other identifiable information of 1600 individuals who had lodged complaints against it.

European Parliament challenges ECB on green credentials and crypto regulation
25 February 2020
Ina resolution passed by a clear majority, MEPs challenged policy makers at the European Central Bank to better integrate environmental, social and governance (ESG) principles into its activities and to redesign its corporate sector purchase programme (CSPP) to better support environmentally sustainable initiatives.

Drive by regulators to adopt tech poses challenges for the firms they police
25 February 2020
The overhaul of the financial services industry in the post Great Financial Crisis (GFC) era has created a swathe of new rules and regulations for the regulators to monitor, and financial firms to adhere to. Along with a notable overhaul in the tech arena, It has presented firms with significant challenges, transforming how they operate and behave on a day to day basis.

The buy side is saving compliance and control professionals from the cold
25 February 2020
If you work in compliance or regulation in an investment bank, you probably have very good reason to fear the rise of technology. As so called ‘Reg tech’ has taken hold, compliance spending is banks’ new target for cost cutting. It’s fortunate, then, that compliance jobs are still very plentiful on the buy side.

FCA flags regulatory gaps and IT outages as key areas of focus
19 February 2020
In its annual Sector Views report, the UK’s Financial Conduct Authority warns of the growing risks to consumers in the retail banking and payments sector, as regulatory protection struggles to keep pace with technology driven innovation and incumbents grapple with legacy limitations.

Compliance failings continue to dog banks
17 February 2020
Reporting back from reviews conducted by Joint Supervisory Teams (JST), the ECB remarks that despite some improvements, banks across the region still need to strengthen the oversight of the compliance function.

Why 67% of companies fear they can’t sustain privacy compliance
17 February 2020
True privacy depends on where and how data travels. Data privacy management and protocol got a facelift with the enactments of the General Data Protection Regulation and the California Consumer Privacy Act.

FCA reports a drop in suspicious transactions
16 February 2020
The number of suspicious transaction and order reports (STORs) recorded by the UK’s Financial Conduct Authority (FCA) has reduced for the first time since records began in 2016.

European Commission warns eight countries over late AML laws
17 February 2020
The European Commission has sent legal warnings to eight EU countries which have so far failed to apply new anti-money laundering (AML) rules, after it told all 27 nations in the bloc they had to impose them by 10 January 2020,

Why 67% of companies fear they can’t sustain privacy compliance
17 February 2020
True privacy depends on where and how data travels. Data privacy management and protocol got a facelift with the enactments of the General Data Protection Regulation and the California Consumer Privacy Act.

e-KYC market anticipated to reach more than $1 tn by 2026
13 February 2020
Electronic customer identity authentication solutions are expected to grow at a compound annual growth rate of approximately 22% in the next six years.

PSD2 turns two: Where do we go from here?
11 February 2020
PSD2 still has a long way to go but it has made some impressive progress in the fintech sector. So, after two years in, is PSD2 a success? And where do we go from here? Julie Muhn, senior research analyst, Finovate explores the possibilities of PSD2’s impact on financial markets in 2020.

Six of the top 10 RegTech deals outside of North America and Europe were raised by Israeli companies
07 February 2020
RegTech companies outside of North America and Europe raised $454m in the top 10 deals of 2019, which is equal to 73.7% of the total funding raised during the period. Six of the top 10 deals were completed by Israeli companies as the country becomes a key cybersecurity hub with an ecosystem of companies providing surveillance, detection and security solutions to the financial services sector.

ECB runs AI coding marathon to get new insights into supervisory data
06 February 2020
The European Central Bank (ECB) has teamed up with digital innovation outfit Reply to run a 48-hour coding marathon focused on the application of AI and machine learning

The future of regtech is data-driven: How to stay ahead of the curve
18 January 2020
Data drives everything we do today. From financial institutions to regulators to professional sports, there’s no question we’re living in a data-driven world. The differentiator is how the data is interpreted and applied.

Snapshot of Singapore’s Booming Regtech Scene
07 January 2020
Regtech, the younger cousin of fintech has quickly risen out of fintech’s shadow and stand on its own two feet. In Asia, this is perhaps no more apparent than it is in Singapore

The Future of Fintech at CES 2020 with AI, Crypto, Threat Intelligence and So Much More…
06 January 2020
Recent advancements in financial technologies (fintech ecosystem) have created many faces of growth for businesses. A combined force of technology, human intelligence, governance, and politics underpin the rate of success for fintech players and their products.

RegTech Universe 2020
03 January 2020
RegTech (Regulatory Technology) is more than a buzzword, it is a very real movement that is already having an impact on regulatory compliance. Discover our RegTech Universe, where we are compiling a list of RegTech companies along with the technologies and solutions they are offering.

Aussie Bullish RegTech Claims Falling On Deaf Ears
00 January 1900
After a Royal Commission into the banking industry focused attention on compliance, corporate regulator the Australian Securities and Investment Commission (ASIC) zeroed in on RegTech as a vital part of the solution. Install and embrace RegTech was the message, and it will improve compliance, catch bad guys, and reclaim trust. RegTech is the future because the need is now!

Singapore’s New Payments Law Welcomes Crypto Firms
29 January 2020
The Monetary Authority of Singapore (MAS) announced that a new payments law, which regulates various payment types including cryptocurrencies, has come into force today.

FS firms hit with $36bn in AML, KYC and sanctions fines since financial crisis
29 January 2020
Financial services firms have been hit with a total of $36 billion in fines since the financial crisis for non-compliance with anti-money laundering, know your customer and sanctions regulations around the world.

World Economic Forum publishes CBDC framework
29 January 2020
The World Economic Forum (WEF) has put together a policy-maker toolkit designed to help central banks investigating the creation of digital currencies.

Six notable trends for the Fintech sector
28 January 2020
After some years of many innovations in payments, automation and open data, the market has already decreed the need to regulate the whole plethora of options and services. It is the necessary toll to take the leap from the early adopters to the global mass market, something that will happen in a very fast and spectacular way due to the volume of customers in the regions that less traditionally use banking services: Latin America and, above all, Africa.

As the World Moves to 2fa Using Biometrics, X9 and the PCI Council Release a New Pin Standard
24 January 2020
While a clear consensus has been established that passwords are a terrible security solution, X9 and the PCI council have published a new PIN standard. It appears to be out of synch with the overall market effort to move away from using “what you know” identity solutions.

Banks denying refunds to scam victims who ignore new warnings
24 January 2020
Consumer group Which says banks are backsliding on commitments to reimburse customers who have been tricked into sending money to criminal accounts.

Regulators are focusing on data privacy and identity: What should banks do next?
23 January 2020
California’s pioneering Consumer Protection and Privacy Act (CCPA), the first comprehensive consumer privacy law passed in the United States, went into force on January 1, 2020 but some of the law’s implications are already emerging.

RegTech funding in India soars five times as FinTechs get regulated
14 January 2020
Even as the Indian FinTech ecosystem continues to get regulated with newer laws, the investments into the Regulatory-Tech or RegTech startup space also continues to grow. As per a data provided by startup research and intelligence firm Tracxn, the private investments into the Indian RegTech space has increased by over five times at US $43.5 million in the year 2019 so far, compared to a mere US $7.26 million in 2018.

British Watchdog FCA Probes Data Sharing in Financial Services
14 January 2020
Britain’s Financial Conduct Authority (FCA) is investigating whether sharing data with outside competitors could be extended beyond banks to savings, insurance, mortgages, investments, pensions and consumer credit to increase innovation and choice.

UK Financial Watchdog Now Supervises AML/CTF Compliance For Businesses
13 January 2020
The well known and popular UK financial watchdog which is the Financial Conduct Authority (FCA) is now actively supervising the anti-money laundering (AML) and counter-terrorist financing (CTF) compliance for companies which are carrying out crypto-related activities.

Key Tech for Life, Annuity in 2020
13 January 2020
Data governance, edge computing, artificial intelligence (AI), machine learning (ML) and blockchain have become much more than buzzwords in the life and annuity industry—they represent areas of innovation being implemented today and examined further for the future.

ESMA’s new responsibilities for 2020
10 January 2020
The European Securities and Markets Authority (ESMA) has revealed an increased focus on supervisory convergence in 2020. Outlined in its new ‘Strategic Orientation for 2020-22’, the regulator has revealed the new responsibilities and powers it will have over the next couple of years following the ESA Review and EMIR 2.2.

Spotting suspicious transactions: Why automation is the future of compliance
09 January 2020
The catalyst for this growth was identified as the drive towards digital payments. While the latter brings about convenience and serves as an enabler for digital services, it conversely creates challenges specifically around financial crime.

Chinese finance group calls for AI regulation in ecosystem
23 December 2019
Policy advisers at a leading think tank said that China should introduce a regulatory framework for artificial intelligence in the finance sector, according to a report from Reuters on Sunday (Dec 22).

EC expert group issues call to action on fintech regulation
18 December 2019
A European Commission (EC) Expert Group has called on regulators to respond to the changing nature of fintech by adapting the rule book and legal frameworks to encourage innovation and dampen emerging risks.

FCA calls for input on new model for open finance
17 December 2019
The Financial Conduct Authority has issued a call for input on proposals to extend open banking rules to a wider range of products, under a new model billed as ‘open finance’.

ECB tackles anonymity and AML compliance in digital currency issuance
17 December 2019
New research from the European Central Bank shows that it is possible to build a simplified payment system for central bank digital currencies, while safeguarding users’ privacy for low-value transactions and ensuring that higher-value transfers are subject to anti-money laundering checks.

SWIFT KYC Registry now open to corporates
16 December 2019
SWIFT’s global Know Your Customer (KYC) registry goes live today, allowing corporate groups to manage and share KYC data with global partners. The launch follows a testing period supported by 18 corporate groups and 16 global banks, amounting to over 7,000 corporate-to-bank relationships on SWIFT.

Tech Entrepreneurs to Face More Regulatory Scrutiny in 2020
16 December 2019
Most politicians in the U.S. and abroad are resisting Facebook’s proposed payment system, Libra, calling it a threat to national sovereignty, among other grievances.

BIS wants central banks at center of digital cash revolution
12 December 2019
Central banks must embrace the revolution underway in digital money to ensure they remain at the heart of the global payments system, according to the head of the Bank of International Settlements.

Australian regtech threatened by equity hole
11 December 2019
Despite increased demand for Regtech and Australia’s strong concentration of regtech development, subdued investment puts the Antipodean market at risk, finds The RegTech Association.

Regulators ponder new rules to temper Big Tech data advantage
09 December 2019
Global banking regulators say the arrival of Big Tech firms like Google, Amazon and Apple in financial services poses a host of stability risks that may require sweeping new laws to level the playing field with smaller tech firms and banks.

Regulatory preview: It will be a busy 2020 in Europe
22 November 2019
The 2020 landscape for implementation and enforcement of regulations and legislation is heavily slanted in the areas of Privacy Protection and Securing/Regulating Financial transactions. Most of our customers and partners have dealt with the 4th AML (4MLD), GDPR, and the beginnings of PSD2 & Open Banking.

Increased RegTech investments among chief FinTech trends to expect in 2020
20 November 2019
FinTech is going to explode next year, with several new solutions hitting the market, Ecosystm, the tech research firm, suggests in a new report. “FinTech is poised to have a much greater impact in 2020 than many people realize,” said Paul Gestro, report co-author and principal adviser at Ecosystm.

Transforming PSD2 and Strong Customer Authentication into opportunities
19 November 2019
PSPs that use machine learning for fraud prevention can breathe a sigh of relief, knowing they have the technology in place to decrease fraud rates and help them succeed in the world of PSD2. As fraud increases, customer behaviours change, and a more competitive Open Banking market becomes the reality, PSPs must work continuously to manage risk and reduce friction.

CMTA to Publish Common Standards for the Safe Custody of Digital Assets
14 November 2019
The Capital Markets and Technology Association (CMTA), an independent Swiss association bringing together actors from Switzerland’s financial, technological and legal sectors will publish common standards for the safe custody of digital assets. CMTA is currently consulting its members on proposed standards for the safe custody of digital assets by professional financial intermediaries.

The importance of offering a user-friendly, customer-centric SCA process
14 November 2019
Marco Fava, Managing Director of CleverAdvice, discusses the fragmented implementation of Strong Customer Authentication, liability, and how to optimize the SCA process

Innovation Regulation Knowledge Chatbots
11 November 2019
Innovation is about changing the status quo in a way that adds value to stakeholders. To demonstrate adding value requires measurement. With this clear definition of innovation, lets apply it to regulation.

Australian Senate Select Committee on Fintech & Regtech Publishes Issues Paper
06 November 2019
The Australian Senate Select Committee on Financial Technology (Fintech) and Regulatory Technology (Regtech) has published an “Issues Paper outlining what it intends to review and report back to the Senate. The Committee was established in September 2019 and consists of six senators.

Swiss Regtech Startups in Singapore to Watch
04 November 2019
Singapore is one of the world’s largest financial markets, a position it has earned thanks to its business-friendly environment, excellent government support, easy regulation and access to specialist knowledge.

Company News

BBVA, Asks Fintech Firms to Develop Regtech and Finance Solutions via its Open Talent Program
16 March 2020
BBVA (Banco Bilbao Vizcaya Argentaria, S.A)., a Spanish multinational financial services company, is making changes to its Open Talent competition for early-stage firms and startups, in order to work cooperatively with Fintech businesses.

AutoRek Partners with Nationwide to Offer Data Management and Cloud-powered Financial Controls
13 March 2020
Glasgow-headquartered AutoRek, a firm that provides financial controls and regulatory reporting software, has teamed up with Nationwide to offer a data management solution and cloud-powered financial controls for a three-year period, with a two-year extension plan.

Cognism raises $12M to expand across Europe and set the global standard for data compliance
10 March 2020
Cognism raises $12M to expand across Europe and set the global standard for data compliance is an extension to the $10M already raised. Cognism has opened an office in New York and expanded its three offices in the UK, Europe and Asia. The company also enhanced its AI expertise with James Hodson, former Head of AI at Bloomberg, joining as Chief Science Officer.

SIX Group Selects Know Your Customer’s Solutions for Supplier Due Diligence
09 March 2020
SX Group has selected Ireland and Hong Kong-based RegTech provider Know Your Customer to strengthen its procurement process and better assess the risk associated with its international suppliers.

IDnow publishes Regulatory Handbook for FinTechs
06 March 2020
IDnow has published its first handbook for FinTechs: The “Handbook FinTech Regulations 2020 – How to balance customer experience with increasing AML requirements”. As an expert in regulatory matters and a leading supplier of Identity-Verification-as-a-Service solutions, IDnow works for more than 250 customers, including numerous FinTechs such as N26, Solaris Bank, Fidor, Wefox and Bitpanda.

Broadridge Completes Acquisition of FundsLibrary to help asset managers meet UK and EU regulatory requirements
03 March 2020
Broadridge completes acquisition of FundsLibrary to accelerate its pan-European regulatory communications and digital data platform, supporting the lifecycle of fund data, documents, and regulatory reporting for the investment industry.

UK regulator warns Deutsche over repeated compliance failings
02 March 2020
The UK financial regulator has criticised Deutsche Bank for failing to improve its anti-money laundering and compliance controls, and warned this could jeopardise the German lender’s access to the UK after Brexit. Bank of England supervisors have told Deutsche executives they now require monthly updates, instead of the normal quarterly meetings, according to people familiar with the matter. Regulators are concerned that issues are still occurring four years after Deutsche was first censured and placed under special supervision by the Financial Conduct Authority for “serious” and “systemic” failings in its controls against money laundering, terrorist financing and sanctions breaches.

Meniga to expand UK product offering beyond financial services with a new FCA licence
21 February 2020
Meniga, the global leader in digital banking solutions today announces that it has been successfully registered as an Account Information Service Provider by the Financial Conduct Authority (FCA) in the UK.

Red Deer teams up with Cappitech to improve MiFID II compliance
06 February 2020
Research platform Red Deer has teamed up with Cappitech, a regulatory reporting and intelligence solution for financial services has formed a partnership to improve MiFID II and MAR compliance.

Previous company news

Company News

ZignSec launches new anti-money laundering product with a view on global markets
25 February 2020
The Swedish RegTech company ZignSec has rolled out a new anti-money laundering (AML) product as the Nordics are still dealing with the fallout of a massive banking scandal.

Asian Private Banker Names Fenergo as the Best KYC and Client Onboarding Solution of the Year
25 February 2020
Fenergo, the leading provider of digital transformation, customer journey and client lifecycle management (CLM) solutions for financial institutions, announced it has been awarded “Best KYC and Client Onboarding Solution” by the Asian Private Banker Technology Awards reflecting a testament to its powerful technology suite and ability to ensure compliance with KYC regulations.

GCC Capital selects BearingPoint’s Abacus 360 for RaaS and data management
21 February 2020
BearingPoint RegTech announced that its Abacus 360 Banking solution will be provided as a Regulatory as a Service (RaaS) to GCC and will be expected to reduce the complexities associated with infrastructure and reporting as well as improve security.

CICC and Keesing Technologies Partner to prevent Identity Fraud in Caribbean region
20 February 2020
Caribbean Identity Compliance & Consultancy and Keesing Technologies announced a partnership to help businesses in the Caribbean region prevent identity fraud with best in class AML/CFT solutions including industry leading identity verification.

Fenergo raises $80M for compliance and other fintech services aimed at banks
14 February 2020
Fenergo builds solutions for banks and other financial management companies to help with regulatory compliance, customer onboarding and other “lifecycle management” requirements. It has raised $80 million in funding, one of the bigger rounds for an Irish fintech company to date.

BearingPoint RegTech further expands its business in Sweden
13 February 2020
GCC Capital AB selects Abacus360 Banking for regulatory reporting as a Regulatory-as-a-Service (RaaS) solution and cloud-based data management

Fingopay and Reflow pilot to let consumers pay with their veins
13 February 2020
Fingopay, a vein-based biometric solution, is launching an open banking pilot with payments company Reflow, to help banks access fingerprint payments. The partnership hopes to empower retailers and merchants to handle bank-to-bank transactions by using their fingers to complete transactions.

AutoRek wins Bank of England’s tender for reconciliation tech
12 February 2020
The Bank of England selected AutoRek’s automated reconciliation and data management solution, to be implemented in two phases across finance and operations. The new tech will provide a centralised platform for the bank’s daily and monthly reconciliation tasks.

InfoComply Launches Compliance and Data Privacy software to address New Regulations Worldwide
10 February 2020
Consumer data privacy and corporate compliance management firm InfoComply announced today a new version of the company’s software platform, providing upgraded tools for companies seeking compliance with international security and privacy regulations, including the General Data Protection Regulation (GDPR), California Consumer Privacy Act (CCPA), and Brazil’s New General Data Protection Law (LGPD).

Policygenius raises $100m Series D as it looks to launch series of new services
30 January 2020
Policygenius, an online marketplace for insurance comparison, has collected $100m in its Series D round. The round was led by KKR, with contributions also coming from Norwest Venture Partners, Revolution Ventures, Susa Ventures, AXA Venture Partners, MassMutual Ventures and Transamerica Ventures. With the new capital, the company is looking to hire more staff and release new financial protection products later in the year.

Theta Lake has been rewarded a thumbs up for how it handles data
30 January 2020
RegTech company Theta Lake has successfully been audited by the American Institute of Certified Public Accountants regarding how it deals with data

FIME to test biometric components with FIDO Alliance
30 January 2020
FIME, a consultancy service and technology developer, has been accredited to test biometric components in line with FIDO Alliance’s Biometric Component Certification Program.

Ask Kodiak partners with Tarmika to boost operations for agencies
30 January 2020
API platform for the insurance industry Ask Kodiak has partnered with Tarmika, a rating platform for insurance agencies.

InsurTech Slice Labs announced four new AI-powered services
29 January 2020
Slice Labs is rolling out new services to help insurers make better decisions on everything from claims to fraud.

Regulatory Challenges of Saxo Bank
12 December 2019
Saxo Markets is a UK FCA regulated entity of Saxo Bank AS, headquartered in Denmark. The Saxo Bank Group is a provider of electronic trading and investment services. Saxo services a wide range of client types, globally, with its multi-asset offering. Saxo Bank has evolved its offering over time, most recently acquiring Dutch on-line brokerage, Binckbank. Saxo is known for its technology-led strategy and open approach to innovation.

EU fires Libra warning
06 December 2019
In the latest shot across the bow of Facebook’s Libra project, European authorities are warning that no global stablecoin systems will be allowed to operate in the EU until legal, regulatory and oversight issues have been addressed.

Evidology Systems Addresses Challenges of Principles-based Regulations
15 November 2019
Evidology Systems is launching a unique service combining real-time specialist legal opinion with principles-based regulations compliance software. Seen as a true second-generation solution, QED (Quality and Evidence Driven) is the only platform optimising the process of demonstrating compliance to regulation or standard. This visual system utilises current legal opinion to allow organisations to demonstrate compliance at all times with regulations including GDPR, FRTB, SMCR, ISO 27001 and PSD2.

Protiviti and International RegTech Association study sets out roadblocks to effective KYC
25 November 2019
Protiviti and the International RegTech Association (IRTA) have released the findings of a global market study they conducted to investigate the effectiveness of current ‘Know Your Customer’(KYC) processes.

Westpac to rebuild financial crime tools and double compliance staff
25 November 2019
Westpac has pledged to consolidate its disparate anti-money laundering systems into a single, group-wide, database, and to double the number of people in its financial crime unit, in response to regulatory accusations that it contravened AML/CTF laws on over 23 million occasions.

Salt Edge releases an open source solution for SCA and dynamic linking under PSD2
29 October 2019
After the EBA published on 21 June 2019 its opinion on the SCA elements under PSD2, addressing the concerns about the industry readiness to implement SCA into practice, it became obvious that many financial institutions were not prepared to meet the requirements. To assist institutions with it, Salt Edge introduces its latest contribution to open source with the code of Salt Edge Authenticator, created to make online commerce safer and increase customer protection in the new world of Open Banking.

New Singapore innovation hub to focus on digital identities and to connect regulators with tech providers
14 November 2019
The Monetary Authority of Singapore (MAS) and the Bank for International Settlements (BIS) has launched BIS Innovation Hub Centre in Singapore. The project is set up to foster innovation and greater collaboration among the global central banking community, further the understanding of FinTech and to support the development of new technology.

BIS Singapore hub to focus on digital identities and regtech
13 November 2019
The Bank for International Settlements’ third innovation hub is to focus on the creation of digital identities and a platform to link central banks and regtech providers. It is the last of the three hubs initially announced by the BIS in June. Further locations are set to be unveiled as part of a second phase.

ING invests in regtech Ascent – FinTech Futures
12 November 2019
ING has taken part in a $19.3 million Series B funding round for Chicago-based regtech Ascent, reports Jane Connolly. ING backs AI-driven regulatory compliance solutions. Ascent uses machine learning and natural language processing (NLP) to help companies build, manage and automate regulatory compliance.

Itiviti to Expand Regulatory Coverage, Starting with the CAT
09 October 2019
Itiviti will soon bring to market an offering that will help broker-dealers and other market participants comply with the consolidated audit trail (CAT)

Securities numbering agency Anna sets up digital asset taskforce
23 October 2019
Anna, the global body behind the assignment of International Securities Identification Numbers (Isins), has set up a technology taskforce to explore ways of extending its standards to digital asset trading.

Swiss Regtech Apiax secures $6.6 million Series A
17 October 2019
Swiss RegTech startup Apiax has completed a $6.6 million Series A funding round, reflecting strong investor appetite for technology-focused solutions to the growing compliance burden facing major firms.

FS-ISAC and Europol forge cybercrime partnership
19 September 2019
The Financial Services Information Sharing and Analysis Center (FS-ISAC), a US industry consortium, has forged a partnership with Europol’s European Cybercrime Centre (EC3) to combat cybercrime within the European financial services sector.


Global Regtech Summit
13 May 2020 – 15 May 2020 – London
Welcome to the world’s largest Regtech Event in 2020!

Previous Events

Regtech Expo UK 2019
21 November 2019 – London
The UK’s largest one-day trade and conference expo will help you understand if you are ready to capitalise on the booming multi-billion pound Regtech market and are you up to date with the future trends and challenges.

The 26th RegTech Convention: Transformation & Agility
26 November 2019 – 27 November 2019 – Frankfurt
The RegTech Convention is a 2-day conference that has been hosted by BearingPoint since 1993. Today, the event is one of the largest conferences on regulation and RegTech in Europe

Digital Regulatory Change 2019

October 16, 2019
Regtech industry roundtable on digital regulatory change is by invitation only for members of financial institutions – please get in touch if you would like to attend.

FINRA 2019 RegTech Conference
January 17, 2019 – Conference/Showcase
Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations.

The 5th Annual AML, Financial Crime & Sanctions Forum
January 30, 2019 – Conference/Showcase
Benchmark your Compliance Processes and Understand the Impact of Regulatory Developments

PSD2 & RegTech Banking Forum
February 19-20, 2019 – Conference/Showcase
2018 was dubbed as the “Year of PSD2 and GDPR” when these two major regulations went live in Europe Union at approximately same period. Kinfos Events recognized that there was a significant gap in understanding, expectations, what is actually allowed and how GDPR can impact the actual implementation of PSD2 therefore we successfully organised Europe’s first ever combined forum on PSD2 and GDPR with an aim to clear such clouds and work towards finding possible solutions to navigate through these overlapping regulations.

RegTech Live
February 28, 2019 – Conference/Showcase
The pace of regulatory change is only matched by technological development, so it follows that regulatory technology, or RegTech, is one of the most dynamic sectors in financial services. The proliferation of new products and services to help institutions cope with compliance has been impressive in recent years, so this conference will take stock of developments in 2018 and look ahead to what’s next in 2019.

FinTech & RegTech Global Supervisory Summit
March 13, 2019 – Conference/Showcase
The Central Banking FinTech & RegTech Global Supervisory Summit represents a unique platform where the global community of the senior official sector representatives with an active interest in FinTech, RegTech and SupTech can come together and share views and experiences in a confidential environment.

Comply 2019
May 14, 2019 – Conference/Showcase
COMPLY is the world’s largest RegTech and Compliance event — bringing together the most comprehensive gathering of innovators, investors, legal and compliance professionals and regulators from across the globe.

RegTech Sydney 2019
August 06, 2019 – Conference/Showcase
RegTech Sydney aims to address the biggest challenges affecting accountants and financial service providers today. It has made its mark on the accounting and financial services industry with its balance of technical, motivational and entertaining content.

RegTech Summit (London)
October 03, 2019 – Conference/Showcase
The RegTech Summit, organised by A-Team Group, brings together the community of practitioners managing regulatory change and implementing RegTech solutions.

RegTech Summit (New York)
October 03, 2019 – Conference/Showcase
The RegTech Summit, organised by A-Team Group, brings together the community of practitioners managing regulatory change and implementing RegTech solutions.


Future Payments Regulation Report
11 March 2020
The genesis of this paper was the frustration members felt with the constant evolution of payments regulation with many unintended consequences for our industry peers, and this guide aims to address these issues with practical feedback ahead of the next round of EU regulation.

4 Regulatory Changes Impacting Data, Identity and the Digital Trail
13 January 2020
In this Impact Study produced by Finextra in partnership with DocuSign, we examine the foremost regulatory changes affecting financial institutions and the businesses which transact with them, the key issues arising out of these changes and the avenues for opportunity in this dynamic context.

RegTech Industry Report: The Founders’ Perspective
10 December 2019
This report shares the RegTech Founders’ perspective and is the first phase of our research. Since establishing the RTA, we have recognised the need to measure the impact of our developing and global industry.

Firms Shift Focus to Regtech Strategies: Report | FTF News
12 November 2019
It’s not quite accurate to say that regulatory reforms are over and done with, but the pace of reform has certainly slowed since the mania after the Great Recession.

Previous Reports

The Global RegTech Industry Benchmark Report
22 August 2019
The CCAF is proud to present our first comprehensive analysis of the global RegTech industry. The report findings point to a rapidly growing and technology enabled global industry serving an increasingly diversified customer base, yet still working to test use cases, build value propositions, and establish trust and credibility as it matures.

Financial Crime & Conduct: Exploring Regulatory Technology – A New Approach
RT Associates
In response to pressures from increasingly complex and demanding global regulations, RegTech solutions are achieving the ability to process, analyse and distil enormous volumes of data from disparate sources virtually in real-time. The expanding electronification of global financial markets, as driven by market structure reforms such as Dodd-Frank, EMIR and MiFID II, is very rapidly bringing online vast new streams of information, alongside new processes that need to be monitored systematically for unusual or suspicious patterns.

FinTech Decoded: Capturing the opportunity in capital markets infrastructure

The level of investment in CMI FinTech is gaining. For providers, the key is to view FinTech not as a strategy in itself but as a means to reach strategic priorities. Technology has long been the engine driving capital market efficiency—both for investors in the markets, and for the capital market infrastructure providers (CMIPs) that operate the exchanges and other trading venues, central counterparties, securities depositories, index providers, and data and analytics companies.

RegTech Special Report

Overview and features of the RegTech landscape and solutions