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Regtech Suppliers Guide 2020/2021

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Regtech Suppliers Guide 2020/2021 Guide RegTech Suppliers Guide 2020/2021 @regtechinsight Search: RegTech Insight www.regtechinsight.com Delivering business insight to financial technology executives Blogs Events White Papers Webinars A-Team Insight Awards Knowledge Hub Guides Directories Become a member and receive weekly content updates, free content downloads and exclusive invites to our webinars and summits at: www.a-teaminsight.com/membership @ATeamInsight Search: A-Team Insight www.a-teaminsight.com 3 RegTech Suppliers Guide Introduction A COMPREHENSIVE GUIDE TO SOURCING REGTECH SOLUTIONS Welcome to the second edition of A-Team Group’s RegTech Suppliers Guide, a particularly pertinent publication at a time of regulatory change driven by the UK Government’s plans for a post-Brexit regulatory regime and the ongoing problems posed by the coronavirus pandemic. There are also a handful of major regulatory rollouts on the horizon that will need your time and attention. This edition of the RegTech Suppliers Guide provides profiles and data on over 100 RegTech suppliers that can help you tackle your regulatory challenges with innovative solutions. To help you find the right matches to your requirements, it provides cross references between suppliers and numerous regulations spanning capital markets’ rules from market infrastructure to risk, reporting and payments. You can also review solutions related to specific regulatory functionality and find suppliers in your region. Diving deeper, you can read details about the background of each vendor and a complete list of products offered. The data in this guide was gathered using a questionnaire that RegTech suppliers were invited to complete. While we haven’t verified all the information, the guide provides an opportunity for RegTechs to showcase their tools and solutions, and for you to carry out a meaningful search for the solutions you need and drill down into the detail of any that are of particular interest. Thank you to all the RegTech vendors that took part in the questionnaire and shared valuable information with us. If you are a vendor in this space and want to know more about how to get involved in future editions of the RegTech Suppliers Guide, or indeed any of our marketing services, please get in touch. Email [email protected]. This guide is one of many sources of insight, information and conversation A-Team Group offers in the RegTech space. Take a look at www.regtechinsight.com and become a member of our RegTech community today. It’s free to join and gives you access to a wealth of content including blogs, white papers, webinars, handbooks and A-Team Group’s highly regarded RegTech Summits. I hope you will find this guide useful in your work. Please get in touch with any comments, thoughts or requests at [email protected]. Angela Wilbraham CEO A-Team Group www.regtechinsight.com 4 RegTech Suppliers Guide Contents Introduction 3 Table of contents 4 Statistics of interest 7 Company solutions by regulation 10 AIFMD 11 AnaCredit 12 Basel III 13 BCBS 239 14 Benchmarking / Libor 15 CAT 16 CECL 17 CFTC Regulation Automated Trading (Regulation AT) 18 CFTC Rules 1.73 and 1.74 19 Corep 20 CRD IV 21 CSDR 22 Dodd-Frank 23 Dodd-Frank Volcker Rule 25 EMIR 26 FATCA 28 Financial Market Infrastructure Act 29 Finrep 30 FRTB 31 GDPR 32 IFRS 9 34 A-Team Group Product Director Production Manager Chief Executive Officer Jo Webb Sharon Wilbraham Angela Wilbraham [email protected] [email protected] [email protected] Marketing Operations Manager Project & Events Coordinator President & Chief Leigh Hill Katie Delaney Content Officer [email protected] [email protected] Andrew P. Delaney Director of Event Operations Postal Address [email protected] Jeri-Anne McKeon Coed Lank Farm Data Management & [email protected] Broad Oak TradingTech Editor Events Content Manager Herefordshire Sarah Underwood Lorna Van Zyl HR2 8QY [email protected] [email protected] +44-(0)20 8090 2055 [email protected] RegTech Editor Social Media Manager Lauren McAughtry Jamie Icenogle www.a-teamgroup.com [email protected] [email protected] www.a-teaminsight.com www.regtechinsight.com www.regtechinsight.com 5 RegTech Suppliers Guide Contents IFRS 16 35 IFRS 17 36 Initial Margin Rule 37 KYC/AML 38 Market Abuse Regulation (MAR) 40 MiFID II 41 MLD 44 PRA 110 45 PRIIPs 46 PSD2 47 Regional transaction reporting 48 Regulation ATS 49 SEC Form PF 50 SFTR 51 SMCR 52 Solvency II 53 SRD2 54 Company solutions by function 55 Best Execution 56 Client Onboarding 57 Conduct Risk 59 Data Governance 60 Data Lineage 62 Data Privacy & Digital Identity 63 Distributed Ledger / Blockchain 64 Financial Crime 65 Infrastructure Monitoring 67 KYC / AML 68 Market Risk 70 Operational Risk Management 71 Pre-trade Risk 73 Records Retention and Documents Management 74 Regulatory Reporting 75 Research Aggregation 77 Risk / Capital Adequacy 78 Risk / Risk Calculations 79 Trade Surveillance & Cyber Security 80 Trade / Transaction Reporting 81 Trading Venues 83 www.regtechinsight.com 6 RegTech Suppliers Guide Company listings Cross reference solutions by availability 85 RegTech solutions by location 86 RegTech solutions by target firm type 91 RegTech solutions by size of financial institution 96 RegTech company profiles (listed alphabetically) 101 www.regtechinsight.com 7 RegTech Suppliers Guide Statistics of interest In this section, we present some interesting views of the data collected through this survey process. TOTAL NUMBER OF REGTECH COMPANIES 102 IN THIS GUIDE SPREAD OF SPLIT OF FIRMS BY EMPLOYEE SIZE OWNERSHIP STRUCTURE Sole proprietor 1-10 1% Public 6% Private 11-50 74% Equity/VC funded 21% 51-100 Subsidiary of a private company 101-500 1% Subsidiary of a Over 500 Cooperative public company 0% 2% DISTRIBUTION OF SOLUTIONS BY REGULATION MiFID II 65 KYC/AML 59 GDPR 37 EMIR 35 SFTR 28 Dodd-Frank 28 Basel III 27 MAR 26 Regional transaction reporting 22 Solvency II 21 FATCA 20 BCBS 239 20 FRTB 19 AIFMD 18 SMCR 15 Dodd-Frank Volcker Rule 14 Corep 14 PRIIPs 13 IFRS 9 13 Finrep 13 Financial Market Infrastructure Act 13 CRD IV 13 Libor / Benchmarking 12 SEC Form PF 10 CSDR 10 CFTC Regulation Automated Trading (Regulation AT) 10 AnaCredit 10 SDR2 9 MLD 8 IFRS 17 8 CFTC Rules 1.73 and 1.74 8 PSD2 7 PRA 110 7 Initial Margin Rule 7 IFRS 16 7 CAT 7 Regulation ATS 6 CECL 6 www.regtechinsight.com 8 RegTech Suppliers Guide Statistics of interest DISTRIBUTION OF SOLUTIONS BY FUNCTIONAL CAPABILITY Regulatory Reporting 55 KYC/AML 46 Operational Risk Management 39 Financial Crime 38 Client Onboarding 33 Data Governance 32 Trade/Transaction Reporting 30 Records Retention & Document Management 27 Risk/Risk Calculation 27 Best Execution 25 Conduct Risk 25 Data Lineage 25 Market Risk 25 Data Privacy & Digital Identity 20 Trade Surveillance & Cyber Security 19 Pre-Trade Risk 18 Risk/Capital Adequacy 15 Infrastructure Monitoring 13 Distributed Ledger/Blockchain 8 Trading Venues 8 Research Aggregation 7 DISTRIBUTION OF SOLUTIONS BY DISTRIBUTION OF SOLUTIONS TARGET FINANCIAL INSTITUTION TYPE BY TARGET FINANCIAL INSTITUTION SIZE Investment Bank 92 Investment Management 78 Small independents Broker/Dealer 73 36 Tier 1 Hedge Funds/Proprietary Traders 62 88 Tier 3 Custodian / Fund Administrator 57 71 Insurance/Plan Sponsor 56 Tier 2 Regulator 52 91 Retail 38 DISTRIBUTION OF SOLUTIONS BY TARGET REGION 98 79 65 38 31 Europe North America Asia/ Middle East South Pacific & Africa America www.regtechinsight.com CompanyCompanies Solutions by Regulation 11 RegTech Suppliers Guide RegTech Solutions: AIFMD COMPANY NAME Product/Solution 3 Lines of Defence Group Yes ACA Compliance Group ACA Regulatory Reporting acarda AIFMD Reporting Allatus Ltd Allatus Unity Ascent Yes AxiomSL ControllerView cleversoft GmbH docCreator Compliance Solutions Strategies Global Fund Reporting (Consensus) Compliance.ai Compliance.ai CUBE CUBE Self-Service Data Quality (RegMetrics Module); Match Datactics Engine Due diligence on asset managers and Distributors of GRC WATCH funds ISIN2LEI.eu ISIN2LEI.eu LavenTech LavenTech OTCFin PATOne singlerulebook.com Ltd singlerulebook.com SIX Financial Information Ltd AIFMD data service Waymark Tech EDB www.regtechinsight.com 12 RegTech Suppliers Guide RegTech Solutions: AnaCredit COMPANY NAME Product/Solution Allatus Ltd Allatus Unity Ascent Yes AxiomSL ControllerView BearingPoint RegTech Abacus360 Banking Data Virtuality Logical Data Warehouse Datactics Self-Service Data Quality Diligencia ClarifiedBy.com Fenergo CLM ISIN2LEI.eu ISIN2LEI.eu Waymark Tech EDB www.regtechinsight.com 13 RegTech Suppliers Guide RegTech Solutions: Basel III COMPANY NAME PRODUCT/SOLUTION acarda Basel III Allatus Ltd Allatus Unity Ascent Yes Asset Control AC Plus for data mastering, Ops360 for visualisation AxiomSL ControllerView BearingPoint RegTech Abacus360 Banking Bureau van Dijk Moody's Analytics BankFocus cleversoft GmbH SecondFloor Compliance.ai Compliance.ai CUBE CUBE Dato Capital Financial statement delivery via API Evidology Systems Limited QED Finmechanics FM Converge HETIKUS HETIKUS | Boards & Committees ISIN2LEI.eu ISIN2LEI.eu Kingland The Kingland Data Platform and custom design process La Meer Inc. GRACE ERM LIST LiRiCo OTCFin PATOne Regtify Prometheus singlerulebook.com Ltd singlerulebook.com SIX Financial Information Ltd LEI, Basel III, HQLA Solidatus Solidatus TickSmith Data Pooling Solution Verint Verint Financial Compliance Waymark Tech EDB www.regtechinsight.com 14 RegTech Suppliers Guide RegTech Solutions: BCBS 239 COMPANY NAME PRODUCT/SOLUTION
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