Author Archives: PlanetCompliance

By PlanetCompliance, May 27, 2019 [RegTech directory , The Business Spotlight] The Business Spotlight: The section where we look at the companies active in the sectors we cover, tell their stories and introduce their solutions to show you what they’ve got and who they are. Today …

By PlanetCompliance, May 22, 2019 [At the Regulators , Compliance , Germany , Risk Management , Senior Management , Sustainable Finance Insights] Sustainable Finance has been catapulted to the top of the list of priorities for regulators. Following ESMA’s technical advice to the European Commission on Sustainable Finance, more regulatory authorities turn their intention to the question …

By PlanetCompliance, May 17, 2019 [RegTech directory , The Business Spotlight] What can you tell us about your company and your products & services? When initially coming up with the concept and then developing the software, Richard Pike CEO was looking for a solution that could …

By PlanetCompliance, May 14, 2019 [Alternative Finance insights , Compliance , RegTech directory , Risk Management , Senior Management] Artificial Intelligence, Robotics, Digitalisation – despite all the success stories it has written, the digital revolution is often also linked with the fear of people that it will eventually cost them their jobs. How realistic …

By PlanetCompliance, May 9, 2019 [Alternative Finance insights , At the Regulators , Compliance , ESMA , European Commission , European Union , MiFID insights , News from the EU , Risk Management , Senior Management] What is sustainable finance and what are the consequences for the existing or future governance framework of financial institutions? While the EU’s fight against climate change through changes to regulatory structure is in full swing, …

By PlanetCompliance, May 6, 2019 [ABC insights , Alternative Finance , Alternative Finance insights , Blockchain , Blockchain & Smart Contracts Insights , Cryptocurrencies , MLRO] Little more than a month until the next G20 summit in Japan and the crypto community is already speculating fervidly what it will bring. No wonder as the discussions of the leaders of the world’s …

By PlanetCompliance, May 3, 2019 [Compliance , IT , Risk Management] What can you tell us about your company and your products & services? Cappitech: The platform of choice for compliance managers Offering the best regulatory reporting solution in the industry, Cappitech is revolutionising the way …

By PlanetCompliance, April 29, 2019 [ABC insights , Alternative Finance insights , AML insights , At the Regulators , Compliance , European Commission , European Union , Market Abuse insights , MLRO , News from the EU , Risk Management] You may be excused to have missed the news that at the end of March the European Parliament and Member States reached a political agreement on a stronger and more integrated European supervisory architecture. With …

By PlanetCompliance, April 24, 2019 [Alternative Finance , Alternative Finance insights , AML insights , At the Regulators , Blockchain & Smart Contracts Insights , Compliance , Cryptocurrencies , FCA (UK) , Insights , MLRO , Privacy Officer , RegTech directory , Risk Management , Senior Management , UK] Right in time for the long Easter weekend, the UK’s Financial Conduct Authority (FCA) last week issued its annual business plan for 2019/2020. On 56 pages it sets out the regulator’s main areas of focus, …

By PlanetCompliance, April 20, 2019 [Alternative Finance , Alternative Finance insights , At the Regulators , BaFIN (Germany) , Blockchain , Blockchain & Smart Contracts Insights , Compliance , Corporate Finance insights , Crowdfunding , Cryptocurrencies , Germany , Investment Banking , Senior Management] Germany cannot be considered the most welcoming jurisdiction in terms of token regulation. A recent report might spell a change of direction though. Here is why. Monday afternoon I received a gentle notification that the …

By PlanetCompliance, April 17, 2019 [Alternative Finance insights , At the Regulators , Compliance , Corporate Finance insights , Crowdfunding insights , Debt , FCA (UK) , Insights , Investment Banking , UK] When the UK’s Financial Conduct Authority (FCA) published a statement before Christmas that announced that it had directed London Capital & Finance plc (LCF) to withdraw all of its existing marketing materials in relation to LCF’s …

By PlanetCompliance, April 14, 2019 [Alternative Finance insights , At the Regulators , Compliance , Data Protection&Privacy insights , IT , Risk Management , Senior Management , US] Last week, the FDIC (“Federal Deposit Insurance Corporation”) sent out one of its periodic Financial Institution Letters. This one is about Technology Service Provider Contracts, so if you’re the compliance officer or a member of …

By PlanetCompliance, April 10, 2019 [Crowdfunding , Equity] Planet Compliance has extensively written about equity crowdfunding regulations in the past. But in case the concept of “equity crowdfunding”is new to the reader, this is not quite the same as “rewards crowdfunding”, which was …