Directory · Operations, compliance and infrastructure
Regulatory compliance
24 products carry this category. Categories are tags, so several of these also appear elsewhere.
What is meant by Regulatory compliance?
Tools that keep a firm within its regulatory obligations, other than filing reports, checking investment restrictions and surveilling trading and communications. Four areas: financial crime (anti-money-laundering, know-your-customer and sanctions screening of investors, clients and counterparties); regulatory obligations and compliance management (the obligations register, policies and attestations, conflicts and gifts, marketing review, and MiFID II and PRIIPs product governance and costs-and-charges disclosures); data protection (GDPR); and prudential capital, liquidity and margin rules (IFR and IFPR for investment firms, Basel for bank-owned managers, uncleared margin rules).
Who uses Regulatory compliance?
Compliance, with the operations team that onboards investors and counterparties, and risk for the prudential calculations.
What gets confused with Regulatory compliance?
Regulatory reporting, which files what a regulator asks for; pre-trade compliance, which checks orders against investment limits; and surveillance, which monitors trading and communications after the fact. A prudential calculation tool is usually also risk analytics, and is listed in both.
What should you ask a vendor about Regulatory compliance?
Ask which of your obligations it covers by name, who keeps those rules current when a regulation changes, and what evidence it keeps of each check for an examiner.
This definition is Buyside Fintech’s own editorial work, not a vendor’s. The products listed below carry the sources we read.
Regulatory compliance products
24 PRODUCTS