Tag: Compliance

London-based ALT/AVE has received a £535,000 capital injection, which was comprised of a grand and pre-seed funding.

The Reserve Bank of India (RBI) banned American Express Banking and Diners Club International from adding new customers, citing non-compliance with data-storage rules.

The Financial Conduct Authority (FCA) has revealed it will launch a ‘regulatory nursery’ for new FinTech companies in autumn of this year.

Money laundering, bribery and corruption are still a pressing issue within financial institutions, but the best way to combat this is through solid operational risk management sponsored from the top.

People, product and customers are Ideagen’s three pillars that have helped it become a tour de force in the compliance space, with it spanning 18 countries and 6,000 clients.

The European Securities and Markets Authority (ESMA) has updated the public register with the latest set of double volume cap (DVC) data under MiFID II.

Sikich, which designs a range of tools for financial services, has acquired Process Stream to expand its product suite.

London-headquartered RegTech firm SteelEye is eying development across North America following two strong funding rounds last year.

A Hollywood-based film company has had its assets frozen after the Securities Exchange Commission (SEC) claims the firm was harbouring a Ponzi scheme.

KYC Portal’s embedded email function is designed to reduce manual effort when collecting information for onboarding new clients.