By PlanetCompliance, March 2, 2019 [Alternative Finance insights , Angel Investing, Venture Capital and Private Equity insights , BaFIN (Germany) , Blockchain , Blockchain & Smart Contracts Insights , Cryptocurrencies , Germany , Insights] BaFin has issued another warning against ICOs. What doesn’t seem to be a big deal, is also a testament to the lack of proactivity and symbolises the German difficulties in the FinTech race. Some time …

By PlanetCompliance, February 27, 2019 [Compliance , Insights , IT , RegTech directory , Risk Management , Senior Management , The Business Spotlight] What can you tell us about your company and your products & services? kompany helps financial institutions and corporations turn the burden of regulatory risk and compliance requirements into a competitive advantage by enabling significant …

By PlanetCompliance, February 22, 2019 [Compliance , Insights , Operations , Risk Management , Senior Management , Thought Leadership] Be it the recent surge in cyber-attacks on financial institutions, the technical glitches that lead to flash crashes on trading venues, high numbers of fraudulent behaviour or simply the complexity of todays systems that comes …

By PlanetCompliance, February 18, 2019 [Alternative Finance insights , Angel Investing, Venture Capital and Private Equity insights , Compliance , Insights , Investment Banking , IT , RegTech directory , Senior Management] A word of warning about RegTech Investment analytics Before we dive into a presentation and analysis of investment activity in the RegTech sector, we need to issue a word of warning or two: the numbers …

By PlanetCompliance, February 15, 2019 [Compliance , RegTech directory] Not long now and we will publish the latest edition of the PlanetCompliance RegTech Directory- the most comprehensive guide to the industry! Make sure you’re company is included and learn how you can contribute by …

By PlanetCompliance, February 13, 2019 [Compliance , IT , Senior Management , The Business Spotlight] What can you tell us about your company and your products & services? Founded in 2011, CUBE is an international RegTech firm that captures global financial services regulatory intelligence, and solves the problem of managing …

By PlanetCompliance, February 6, 2019 [Alternative Finance insights , Compliance , Data Protection&Privacy insights , IT , Risk Management , Senior Management] Open Source is one of the key drivers of FinTech innovation, but it comes with a number of risks though and an effective Open Source Software Compliance framework is a must for all companies employing …

By PlanetCompliance, February 1, 2019 [Compliance , IT , MiFID insights , Risk Management , Senior Management] On Thursday, the German financial watchdog BaFin announced that it would conduct another review into compliance o financial institutions with the rules introduced by MiFID II one year ago. In a first review, which was …

By PlanetCompliance, January 28, 2019 [Automated Trading Insights , BaFIN (Germany) , Compliance , Derivatives , MiFID insights , Retail Banking , Senior Management] Last week, the German financial regulator BaFin, felt compelled to publish a notice on investor protection with regard to Market Making with a focus on derivatives and structured products. The increasing number of complaints the …

By PlanetCompliance, January 23, 2019 [Alternative Finance insights , Blockchain & Smart Contracts Insights , Compliance , Insights , IT , RegTech directory , Senior Management] The ESAs joint report on innovation facilitators analysis the different kinds of innovation hubs and regulatory sandboxes that have been established in European member states. What better time to take stock, compare the two and confront …

By PlanetCompliance, January 23, 2019 [Alternative Finance , At the Regulators , Blockchain , Cryptocurrencies , FCA (UK) , UK] The FCA is today consulting on guidance, which, once finalised, will set out the cryptoasset activities it regulates. The guidance will help firms understand whether their cryptoasset activities fall under FCA regulation. Firms will have a better understanding …

By PlanetCompliance, January 17, 2019 [The Business Spotlight , Thought Leadership] What can you tell us about your company and your products & services? GRADA provides automated solution for entities who wish to collect, verify, authenticate, rate and monitor’ primarily for financial institution who require AML/CFT …

By PlanetCompliance, January 16, 2019 [At the Regulators , Compliance , ESMA , Europe , European Union , Market Abuse Regulation , News from the EU] The European Securities and Markets Authority (ESMA) has published today its annual report on the application of accepted market practices (AMP) in accordance with the Market Abuse Regulation (MAR). AMPs are a defence against allegations of market …