RegTech

Technology is proving to be the lifeblood of our financial world. RegTech solutions harness the latest in technology to help with the increasingly burdensome demands of regulation and compliance.

These solutions are here to stay and perhaps have never been more relevant. They’ve already proved themselves by helping to automate the more routine compliance tasks. But there is no one single platform that solves all compliance needs.

We can help you streamline key compliance challenges

Many of our clients are considering how digital solutions can help reduce costs and generate new business insight. We stay on top of the fast-moving RegTech market, meeting new firms and getting to grips of products we think will really help our clients. We can help you understand what is available on the market and provide cost-effective ways of accessing technology alongside our expert advice.

These are just some of our current RegTech areas of focus:

Automating the management of regulatory change

We have partnered with a real-time regulatory horizon scanning solution. It scans publications across global regulators and multiple other relevant sources. Offering a simple interface to filter and prioritise alerts, socialise articles with colleagues and produce reports at the touch of a button, we also use the platform to drive our own Regulatory Developments Advisory Service. Discover how to simplify horizon scanning

Managing employee compliance

Our partnership with StarCompliance enables our clients to improve compliance processes and mitigate risks to integrity and reputation. Focused on managing employee conflicts of interest, the platform supports personal trading, gifts and entertainment, outside business interests, and employee certifications and attestations. Support for administering the burdens of SMCR is also available. Find out more about our compliance management partnership.

Firm-wide risk assessments and compliance monitoring

We have developed a joint offering for our clients with Grath, a fully functioning Governance, Risk and Control framework (GRC). Based on real-time handbook updates, we can help licenced financial institutions record the rules they are exposed to; construct risks based upon non-compliance with those rules; identify and record the internal processes and controls already in place to mitigate those risks; assign responsibilities to individuals and calculate overall risk impact scores for the business. Either as part of the above, or as a separate exercise, we can also create bespoke compliance monitoring programmes in the platform.

Market abuse surveillance

Market abuse misconduct surveillance provides insightful analytics and contextual surveillance to help firms identify and manage the potential risks of market abuse, fraud and operational breaches. We offer market abuse surveillance as a managed service for our clients, combining technology from KRM22 with expert advice. Find out about our market abuse surveillance service

Identifying cyber threats and risks

We work with experts who can provide a package of solutions that highlight who is likely to attack you and how, and pinpoint where your immediate vulnerabilities lie. This allows clients to focus their spending on the immediate security measures required to stop cyber risk.

Transaction reporting assurance

Our Capital Markets team can support clients with transaction reporting regimes in numerous regulatory jurisdictions. Central to our work in this sphere is our partnership with Qomply, who maintain a system for checking the completeness of firms’ reporting. Combined with our regulatory and consulting expertise, the technology provided by Qomply enables us to complete health checks for clients efficiently and cost-effectively across a variety of reporting regimes, including MAS and ASIC.

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Want to find out more? Get in touch with the team.

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