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Industry news

Singapore FinTech Association establishes RegTech Sub-Committee
May 31, 2019. Finextra
Singapore FinTech Association (SFA) announced yesterday the launch of the SFA RegTech Sub-Committee. The Sub-Committee aims to promote the invention and adoption of technologies to overcome regulatory challenges in Singapore.

RegTech: All onboard
May 16, 2019. Funds Europe
The slow and complex onboarding process has become a pain for both managers and clients. Nicholas Pratt examines how technology can help reduce the burden.

RegTech Compliance: Lessons in Staying Out of Jail for the New Breed of Tokenisers
April 27, 2019. FinTech Times
At its security token seminar in London on April 23, Blockpass’ CEO Adam Vaziri laid out his vision for upcoming blockchain innovation. The future of tokenisation isn’t just about making money without falling foul of regulators. It’s also about the establishment of self-sovereign identity

New Tech Spotlight: A Growing Crop Of RegTech Startups Vie For Unicorn Status
April 25, 2019. Forrester Blog
Of the 16 technology markets Forrester monitors for VC funding trends, the $2.1B raised by regulatory technology (RegTech) ranked 14th in 2018. As such, you’d be forgiven for overlooking a category that doesn’t evoke many buzzwords, hasn’t raised the splashy capital of several other markets, and isn’t exactly grabbing sexy headlines.

Previous industry news

How To Avoid Nightmares When Onboarding AI-Powered RegTech
April 05, 2019. Finextra
The rapidly expanding realm of artificial intelligence (AI) presents a powerful tool for meeting the requirements of regulatory oversight. But like any powerful tool, using it incorrectly can lead to disaster.

BaFin’s focus on RegTech – Just another summary or something to talk about?
March 19, 2019. Planet Compliance
The German financial regulator BaFin has published the latest edition of its BaFinJournal (in German), its monthly specialist magazine and main news bulletin that consists of expert articles, interviews and reports on key national and international supervisory issues as well as official announcements.

RegTech’s role in the transformation of Client Lifecycle Management and KYC Operations
March 05, 2019. Finextra
The global regtech market is exploding. By 2023 revenues are expected to be worth $12.3 billion, growing at a compound annual growth rate of 25.4% over the next five years.

The wild world of RegTech
February 21, 2019. Finextra
The global regtech market is exploding. By 2023 revenues are expected to be worth $12.3 billion, growing at a compound annual growth rate of 25.4% over the next five years.

Investment trends in RegTech
February 18, 2019. Planet Compliance
Before we dive into a presentation and analysis of investment activity in the RegTech sector, we need to issue a word of warning or two: the numbers below are for reference purposes only and can never be absolutely accurate.

RegTech Innovation and Closing Gender Gap in Regulation And Policy Making
February 12, 2019. Finextra
I had the pleasure of interviewing Dr. Sian Lewin who is currently Head of Client Delivery and Research at RegTech Associates and the Founder of the RegTech Women network.

Merging RegTech and Identity
February 12, 2019. Finextra
According to a recent report by MarketsandMarkets, the Regtech market is expected to be worth $12.3 billion by 2023. This is driven by an increase in the cost of compliance, as even more regulations are adopted and the requirement for a more streamlined customer experience proves to be more important than ever.

Is RegTech The Answer To Corporate Governance And Risk Management Issues?
February 08, 2019. Forbes
Financial technology, also known as FinTech, has changed the lives of billions by making financial services and products more accessible, and even integral, to their daily lives.

Data breaches bring in big business for RegTech
January 30, 2019. Financial Planning
Partnerships between financial services firms have flourished in recent months, opening up vast troves of valuable consumer data to FinTechs and mature companies alike.

RegTech provider pushes back: it’s on us, not advisers, to change
January 18, 2019. Professional Planner
The challenges RegTech providers face in creating effective tools shouldn’t be passed on to advisers, technology company founder Lane Cipriani says. It is the responsibility of the providers to find products for the market, regardless of how difficult that may be, he asserts.

The RegTech Top 100
January 08, 2019. Planet Compliance
Regulatory Technology has made remarkable strides over the last few years. RegTech firms have changed the way we deal with laws and regulations using innovative technology like Artificial Intelligence, Biometrics, Big Data Analytics or Blockchain.

RegTech demand intensifies ‘as burden grows’ 
December 18, 2018. FSTech
An overwhelming majority (85 per cent) of financial services professionals predict that demand for RegTech solutions will continue to grow until at least 2020 as the wave of new regulation a decade after the financial crisis shows no sign of abating.

Bridging the gap between RegTech and Artificial Intelligence: an Italian perspective
December 12, 2018. JDSUPRA
Regulatory Technology (RegTech) is a niche of the rising Financial Technology (FinTech) ecosystem, which was born to provide technological solutions to complex regulatory compliance, litigation and contractual matters faced by banks and financial institutions in their everyday activities.

The Dutch RegTech Scene
December 03, 2018. Holland FinTech
Ever since the 2008 financial crisis shook the globe, regulations have and will continue to transform the financial industry. A part of this transformation is the adjacent and growing application of technology to meet complex regulatory challenges, particularly considering 2018 will see a host of regulations come into effect.

The ‘RegTech’ boom: how the financial crash spawned a new industry in the City
November 28, 2018. The Guardian
The 2008 financial crash brought about a major regulatory overhaul of the financial system in the UK, overseen by the Bank of England and the Financial Conduct Authority (FCA). Last year, the FCA issued fines for compliance breaches totalling nearly £230m.

Swiss RegTech Startup Map (Q3)
November 23, 2018. FinTech News
RegTech is a shorthand for regulatory tech, a subset of fintech that focuses on technologies that could help facilitate the delivery of regulatory requirements in a comprehensive and cost-effective way.

RegTech beyond Financial Services
November 20, 2018. Planet Compliance
When we talk about the many upsides of Regulatory Technology, we sometimes forget that RegTech has not even started to tap into its real potential: the application in other industries than financial services. Sure, for most RegTech firms financial institutions are the bread and butter.

RegTech Adoption: The perspective of large financial institutions
November 13, 2018. Planet Compliance
The statistics are dizzying: around 170 jurisdictions, 750 regulators, millions of pages of rules and regulations, one revised every seven seconds. It is no wonder that those charged with keeping their financial institution on the regulatory rails do not always sleep easily at night. How is RegTech, a convenient shorthand for Regulatory Technology, responding, what has it delivered so far and what is the direction of travel?

Snapshot of Singapore’s Booming Regtech Scene
November 13, 2018. FinTech News
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 art of interpretation: RegTech and intrinsic complexity
October 29, 2018. Atos
The statistics are dizzying: around 170 jurisdictions, 750 regulators, millions of pages of rules and regulations, one revised every seven seconds. It is no wonder that those charged with keeping their financial institution on the regulatory rails do not always sleep easily at night. How is RegTech, a convenient shorthand for Regulatory Technology, responding, what has it delivered so far and what is the direction of travel?

Payments and RegTech firms account for bulk of engagements with Central Bank of Ireland’s Innovation Hub
October 22, 2018. Finance Feeds
Payments and RegTech businesses are prevailing in terms of engagements with the Central Bank of Ireland’s Innovation Hub, several months after the launch of the initiative. This becomes clear from the speech delivered by Gerry Cross, Director of Policy and Risk at the Central Bank of Ireland, earlier today.

Is Regulation Killing The Blockchain? How Blockchain Can Adapt to New Laws While Sticking to its Original Principles
October 21, 2018. Crowdfund Insider
The blockchain has revolutionized a number of industries, but none so much as the financial sector. From equity crowdfunding platforms which allow users to buy shares in projects with tokens, to startups raising funds through initial coin offerings (ICOs), to token exchanges where users can buy and exchange cryptocurrencies, the blockchain is changing the way that millions of people around the world save, transfer and invest funds.

Report by Global Consultancy BFA Shows Promise of New RegTech Solutions for Central Banks
September 20, 2018. PR Web
Financial authorities are at a tipping point in embracing a range of new technologies like chatbots and artificial intelligence (AI) to help them tame the surge of data flowing from the digitization of the banking and finance sectors, giving them clearer insights into emerging risks and trends.

What is ‘RegTech’ and how it can help your compliance?
September 20, 2018. Professional Advisor
The relatively new idea of ‘RegTech’ comes in many forms, writes Chris Davies, as he takes a look at the now-burgeoning sector and the potential solutions it can offer to advice businesses.

RegTech and Policy – How to keep pace with innovation?
September 17, 2018. PwC Blog
Technology is undoubtedly changing the way financial services organisations operate with aging functions being removed or automated to drive efficiency and cost reduction. At the same time new delivery channels are emerging that allow companies to interact with each other and their customers in ways not imagined at the turn of the century.

How regtech is changing banking

September 14, 2018. Management UK
You could call Philip Treleaven the father of regtech. The UCL Professor of Computer Science was compiling research for a Government Office for Science committee and coined the term while writing a paper on how to use technology to regulate fintech companies. It was then used by Chancellor George Osborne in his March 2015 budget speech when calling for increased investment into regulatory technologies.

RegTech: A Quite Quiet Revolution

September 14, 2018. SLAW
Last year, I took unexpected sabbatical leave. If one of my doctor’s specialties had been spin, they would have said I’ve pivoted. Now I focus on medical research and services including being an oncologist’s ontologist. I’m trying to disrupt the evolution of cancer, and the massive industry it supports.

FINRA consults on rise of RegTech

September 11, 2018. FS Tech
The Financial Industry Regulatory Authority (FINRA) has released a white paper outlining the potential opportunities and implications that developments within regulatory technology (RegTech) may have for broker-dealers.

Company news

DTCC partners with RegTech firms for wider SFTR coverage
June 10, 2019. Global Custodian
DTCC has partnered with three regulatory technology (RegTech) vendors as it looks to expand its support coverage for the incoming securities financing transaction regulation (SFTR).

RegTech partnership arms financial institutions against financial crime
May 29, 2019. Holland FinTech
Global consulting firm Protiviti and Dutch headquartered BusinessForensics, a provider of financial economic crime management software, have formed a strategic partnership to offer their clients access to compliance technology solutions.

RegTech Heliocor makes Ping An cloud accelerator 
May 27, 2019. Finextra
After an intensive 3 month selection process, Heliocor, the emerging RegTech company based in London and Barcelona, is proud to announce it has been selected for the 3rd Cohort of the Ping An Cloud Accelerator, China.

PerformLine Announces The Addition Of Social Media Monitoring To Their RegTech Platform That Provides Sales And Marketing Compliance For Leading Brands
May 15, 2019. PRWeb
PerformLine, the leading RegTech company that delivers automated compliance solutions, today announced the launch of Social Media Monitoring as part of its multi-channel compliance platform.

Previous company news

Thomson Reuters Inks Regtech Agreement with IBM
May 07, 2019. CBROnline
IBM and Thomson Reuters have teamed up to bundle their respective regulatory intelligence offerings together into a single product for financial services clients.

Sequantis Expands Its Business by Growing Its RegTech Company, Sequantis LT
April 18, 2019. Lelezard
Sequantis, the French specialist in services and tools to help investors effectively monitor their financial investments within the accounting and regulatory rules framework, is announcing the expansion of Sequantis LT, its RegTech company.

Accenture urges RegTech takeup
April 04, 2019. FSTech
Financial services compliance departments should accelerate their uptake of new technologies such as artificial intelligence (AI), Natural Language Processing (NLP) and RegTech solutions to cut costs, according to Accenture.

Wells Fargo welcome RegTech and Motiv to startup accelerator
March 08, 2019. Finextra
Wells Fargo & Company (NYSE:WFC) announced that Ascent RegTech and Motiv have joined the Wells Fargo Startup Accelerator, which is designed to help advance emerging technologies that could transform the financial services industry.

RegTech raises $2.5m via tokenised shares
March 08, 2019. FSTech
RegTech firm Heliocor has raised $2.5 million using a novel funding technique used for the first time in the UK. The process includes investors participating in 20 per cent of Heliocor’s future profits after tax and their investments being represented as a digital token, using blockchain technology.

Cambridge launches RegTech benchmarking survey
February 13, 2019. FSTech
The Cambridge Centre for Alternative Finance (CCAF) has launched its first survey of regulatory technology (RegTech) and supervisory technology (SupTech) firms, in partnership with EY Japan.

Broadridge partially acquires PivotData and Sol Hedge RegTech
February 01, 2019. Banking Tech
Broadridge Financial Solutions, a FinTech provider, has acquired a part of the private fund regulatory reporting capabilities from PivotData, a data warehouse and compliance reporting solutions platform for the investment community, and its partner Sol Hedge.

Cube selected for RegTech project with MetLife Japan
January 31, 2019. Finextra
CUBE has been awarded a regulatory intelligence and change management pilot project with MetLife Insurance K.K. (“MetLife Japan”) as part of its open innovation program, collab 4.0.

RegTech startup Theta Lake raises $5 million in seed funding
January 16, 2019. Finextra
Theta Lake, a leader in compliance artificial intelligence (AI) for video, voice, and unified digital communication, today announced its first round of institutional funding and its industry recognition as a pioneer in the RegTech market.

RegAsk, a Healthcare RegTech Startup, Secures Venture Capital Funding in a Seed Round to Pursue Growth
January 15, 2019. Webwire
RegAsk, a company that uses artificial intelligence to help healthcare firms manage regulatory compliance in global markets, announced today a seed funding round led by TKS 1, a venture capital fund investing in early-stage healthcare technology companies.

Gryphon Investors makes inroads in RegTech with RegEd investment
December 21, 2018. Alta Asset
PE house Gryphon Investors has agreed to buy compliance and regulatory management business RegEd. RegEd’s management team and majority owner Falfurrias Capital Partners, will retain a stake in the business.

Vizor Software to Demonstrate at RegTech Rising
November 30, 2018. PRWeb
Vizor, the world leader in supervisory software for financial regulators, today announced that Vizor’s Chief Innovation Officer, Joanne Horgan, will demonstrate new approaches to regulatory reporting at the RegTech Rising conference taking place December 3rd to 5th, 2018 in London.

RDC Recognised in 2019 RegTech 100 Report of World’s Most Innovative Technology Companies
November 27, 2018. Business Wire
Regulatory DataCorp (RDC), the global leader in compliance screening, announced today that it has been recognised in the 2019 edition of the annual RegTech 100 list of the world’s most innovative RegTech companies.

IBM and BearingPoint bopping with RegTech BPO offering
November 22, 2018. BankingTech
Management and tech consultancy BearingPoint’s RegTech product unit has found a buddy in IBM Services for regulatory reporting. With their joint business process outsourcing (BPO) offering, the companies are targeting the SME market.

Motive Partners acquires controlling interest in RegTech firm LPA
November 12, 2018. Finextra
Motive Partners, a global private equity firm focused on growth investing, today announced that it has acquired a controlling interest in LPA.

AxiomSL partners with SKS Unternehmensberatung to boost presence in German RegTech
October 25, 2018. Finextra
AxiomSL, the leading provider of regulatory reporting and risk management solutions, today announces that it has partnered with SKS Unternehmensberatung, a leading implementation provider of regulatory, risk and compliance management systems in Germany.

EY partners RegTech startup Apiax to deliver digital regulatory compliance
October 10, 2018. Finextra
EY and Apiax join forces to transform the way the financial industry handles regulatory compliance.

PwC acquires FSCom’s RegTech solution
October 01, 2018. Banking Tech
Consultancy firm PwC has acquired RegTech solution KYC-Pro from UK financial services compliance firm FSCom for an undisclosed amount. The move comes as part of PwC’s plans to expand its regulatory compliance offering.


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.

RegTech Expo 
November 21, 2019 – Conference/Showcase
The RegTech explosion has taken the financial services industry by storm. The RegTech Expo UK 2019 will allow professionals within the industry to engage, do business and learn from technology companies involved in: Regulatory Reporting, Risk Management, Identity Management & Control, Compliance, Transaction Monitoring, AML, KYC, GDPR, Data Governance


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