at Financial Technnology Year
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Regulatory Compliance Systems for Compliance and Risk Management
Platforms that track changing regulations, automate compliance workflows, manage required disclosures, and ensure advisors meet regulatory obligations from bodies like the SEC, FINRA, and state regulators.
Other Compliance and Risk Management
FIS Regulatory Reporting Suite
By: FIS Global
https://www.fisglobal.com/en_gb/solutions/regulatory-reporting/
By: FIS Global
https://www.fisglobal.com/en_gb/solutions/regulatory-reporting/
This suite offers streamlined regulatory reporting capabilities to comply with reporting obligations across jurisdictions, integrating data management and automation to reduce risk and improve efficiency.
Advanced machine learning algorithms and a comprehensive dashboard to analyze transaction risks, ensuring compliance with industry regulations while minimizing fraud and chargebacks.
Real-time risk data and automated monitoring tools for AML, KYC, and sanction screening, enabling firms to stay compliant with evolving regulations.
MetricStream Regulatory Compliance Management
By: MetricStream
https://www.metricstream.com/products/regulatory-compliance-management.htm
By: MetricStream
https://www.metricstream.com/products/regulatory-compliance-management.htm
Centralized regulatory library, automated regulatory change management, compliance assessments, task automation, reporting, and workflow tools designed for the finance sector.
Oracle Financial Services Analytical Applications (OFSAA) Compliance Management
By: Oracle Financial Services
https://www.oracle.com/industries/financial-services/analytics/financial-crime-compliance/
By: Oracle Financial Services
https://www.oracle.com/industries/financial-services/analytics/financial-crime-compliance/
Advanced compliance reporting, AML, KYC, transaction monitoring, regulatory reporting, and risk analytics in an integrated platform supporting global regulations.
AI-powered compliance monitoring, automated regulatory updates, documentation management, compliance calendars, and risk assessment tools designed specifically for financial advisory practices.
Compliance Solutions Suite
By: StatPro (part of Confluence)
https://www.confluence.com/solutions/compliance-regulatory-reporting/
By: StatPro (part of Confluence)
https://www.confluence.com/solutions/compliance-regulatory-reporting/
Regulatory reporting, compliance documentation, risk analytics, disclosure management, and data governance tools tailored for financial advisors and asset managers.
MyRIACompliance
By: RIA Compliance Consultants
https://www.ria-compliance-consultants.com/myriacompliance/
By: RIA Compliance Consultants
https://www.ria-compliance-consultants.com/myriacompliance/
Online compliance program management, annual compliance review tools, code of ethics tracking, ADV updating tools, compliance calendar, and regulatory risk assessment for RIAs.
Automated compliance monitoring, trade surveillance, restriction management, comprehensive audit trails, and regulatory reporting capabilities integrated with portfolio management.
Employee compliance management, personal trading monitoring, gifts and entertainment tracking, outside business activities tracking, compliance calendars, and code of ethics management for financial advisors.
A modular platform covering AML, fraud detection, sanctions screening, regulatory compliance reporting, and monitoring tailored specifically for financial industry clients.
Offers robust KYC solutions that help organizations detect and prevent money laundering by integrating customer due diligence, transaction monitoring, and reporting capabilities.