Call for Input: The Planet Compliance RegTech Directory

 We are proud to present the PlanetCompliance RegTech Directory BETA, a light version of our upcoming publication!
In the last couple weeks and months we have been conducting extensive research on the RegTech community. Based on this we have already published a series of articles on top companies in our seven RegTech categories. Now we have produced the following list of RegTechs, which is more or less based on this selection, which to an extent might actually be a better format given that quite a few of the firms we profiled do not firmly fit in only one category. In any case, the full version will present you with the most comprehensive RegTech directory out there combined with analysis and insights, so watch this space!
For any comments, thoughts or questions about the BETA or the full version please get in touch with us at


Offices: Headquartered in New York City
Founded: 2009
Description: 8of9 takes complex financial regulation and breaks it down into discrete data points. Its Regulatory Reference Data platform provides this information as a service that feeds the financial institutions’ computer systems. You have to like them already for describing themselves as a Nerdfarm of charismatic leaders who make it happen who don’t believe anyone is born with these skills; but do believe they are cultivated over time, with practice and thoughtful polishing. It’s not all talk no pants though as the company stays true to its non-profit roots with its division The 9th Element, which through score card rating system has the ability to show a company’s commitment to financial returns as well as their return on impact.

Abide Financial

Offices: Based right in the centre of the City of London, UK
Founded: 2011
Description: Advocates of cloud computing in financial services reporting for years, Abide has already gained a strong foothold in EMIR reportable FX transactions and processes. They are also an approved Reporting Mechanism (ARM) for MiFID / MiFID II plus a reporting hub for several other regulatory initiatives and the respective obligations to share data with regulators. In only five years since the company has been founded but the already call some of the big shots in banking their clients.


Offices: Headquartered in Munich, Germany
Founded: 2015
Description: Check out their post on their first months as a StartUp in Munich (with pictures of the boys in Lederhosen) from last year and you can tell that they enjoy what they’re doing. Which is enabling organisations of all industries and sizes mature their cyber security, risk management and compliance capabilities and cost effectively measure maturity in your extended enterprise. Their SaaS offering is built on a combination of providing a curated content library crafted by industry experts and highly usable functionality.

AQ Metrics

Offices: Headquartered in Dublin with an office in New York
Founded: 2012
Description: AQ Metrics aims to deliver a simple, effective and innovative way to address regulatory risk and compliance. To do that they employ the latest cloud computing and big data analytics technology to deliver an ultra-fast, high quality cloud based platform that saves its clients time and money. They are also a great example of much needed female leadership in the finance industry with Geraldine Gibson as CEO and Claire Savage as COO on the helm though we are sure their male colleagues are doing a great job, too.


Offices: Based in Chicago/USA
Founded: 2015
Description: Only a year into business, these boys from Windy City have recently raised a $1.2 million in seed funding. Why? Ascent’s cloud based software maps a firm’s business activities to relevant rules in real time, assists in tracking and complying with relevant requirements and let’s you even import existing policies, procedures and manuals to create a single ecosystem.


Offices: Based in London and San Francisco
Founded: 2015
Description: Fund data management is a challenging job with large amounts of data that, in the best case, should be accessible to internal stakeholders as well as regulators to ensure efficient use and reduce costs. That’s the challenge AssetLogic is tackling with its web-based service that allows any member of the fund industry to create an online central data and documents repository, which aggregates data and documents from any internal or external system into one online location. Interesting fact: While their offices are in London and San Francisco, all AssetLogic data, intellectual property and corporate governance are actually within the jurisdiction of Luxembourg since it provides the highest levels of data privacy, security and performance and is at the same time a world leading fund center.


Offices: Based in London / UK
Founded: 2014
Description: Behavox provides a holistic view in respect of employee monitoring and risk scoring by combining internal voice and text communications as well as other internal data with external rules and risk scenarios. Machine learning helps its algorithms to compare this data and helps Compliance and Senior Management in the detection of market abuse and other illicit behaviour in real time. Backed by London-based Hoxton Ventures and Chicago-based Promus Ventures, earlier this month they bagged the Financial News Capital Markets Start-up of the Year Award.


Offices: Based in London, UK
Founded: 2014
Description: A RegTech startup challenging global consulting through use of artificial intelligence and automation. Capnovum was founded on the belief that clients can be more cost effectively served by an asset based engagement model and cognitive solutions. Embracing disruptive technology to effect change, Capnovum offers compliance management and advisory services for financial institutions. Capnovum’s platform helps clients discover regulations applicable to their business model and keep up-to-date on regulatory news.


Offices: Headquarters in Palo Alto, Sillicon Valley
Founded: 2008
Description: Cloudera employs more than 1400 staff and has operations in 27 countries. Based on their own statement, 4 out of the top 5 financial firms already use their service Cloudera Enterprise for regulatory compliance, fraud prevention / AML, and risk management. In a recent survey for the latest Gartner Operational Database Management Systems, 75% of respondents said they are planning to purchase more Cloudera product, which should be a good indicator for customer satisfaction


Offices: Headquartered in London, UK, with offices in Latham, NY and Cluj, Romania
Founded: 2014
Description: Just a stone throw from Notting Hill Market, the guys from ComplyAdvantage offer a wide range of Compliance services to help with Client Onboarding and AML screening. But it is their monitoring solution that impressed us the most, combining the knowledge from analysing vast amounts of articles in 8 languages daily with long industry experience in the automation of monitoring. A great example of using artificial intelligence, machine learning and big data analytics to help firms combat financial crime and prevent money laundering. That’s what investors must have thought, too, when they backed their $8.2m Series A funding round led by Balderton Capital, which they announced just a week ago.

CoVi Analytics

Offices: Headquarters in London/UK
Founded: 2015
Description: Software as a Service already is a well-established model, so Compliance as a Service is only logical, the guys at CoVi must have thought, too. After all it’s all about being more efficient and reducing cost of Compliance. CoVi aims to unify the entire compliance value chain, simplifying and automating on-going regulatory workflows from regulatory text to on-going compliance activities, supported with AI technologies and superfluid visualisations.


Offices: Based in Belfast, Northern Ireland
Founded: 2007
Description: According to a recent survey by Information Difference was among the data quality providers with the happiest customers. Not a bad. What Datactics does is to help firms to make sense of their big data warehouses by rapidly profiling to spot potential errors and identify patterns. The tools can then improve the quality of the data and link disparate datasets together in order to get an improved view across the enterprise.

E3 Compliance Training

Offices: Based in Wirksworth/UK
Founded: 2015
Description: E3 Compliance Training was founded with the ambitious target of creating a seriously fun compliance training solution. This they hope to achieve through gamification, i.e. the use of game techniques to make compliance training engaging. We tested a version of their AML solutions, which was indeed more fun than usually someone expects.


Offices: Based at the Silicon Roundabout in London
Founded: 2010
Description: Praised in FinTech and RegTech reports from Deloitte, the World Economic Forum and others, the good people at FundApps have one objective: making compliance simple. They offer a cloud-based solution to automate shareholder disclosure that translates tons of rules and regulations from over 85 jurisdictions into data that can be analysed through algorithms and provides one-click filing.


Offices: Based in Luxembourg
Founded: 2013
Description: Following an initiative of the Luxembourg Stock Exchange market participants of the fund industry came together to analyse the creation of a market utility that would help fund actors mutualise costs and achieve greater efficiency in the fund distribution space. The result was Fundsquare, which has become fully independent, and which aims to deliver a more efficient and standardised infrastructure for the exchange of information and related transaction messages through cost mutualisation and quality management using state-of-the-art technology. One of its key aspects of the solution is a secure communication channel between funds and financial supervisory authorities, which makes particularly attractive in light of growing data security concerns.

GRC Solutions

Offices: Headquartered in Sydney/Australia, with offices in other Australian cities as well as Singapore and New York
Founded: 1999
Description: Already a leader in the compliance training industry in Australia and Asia, GRC Solutions is now making its first steps in the US market with a new adaptive e-learning technology aimed squarely at the banking sector. Different to other solutions, it personalises training to the individual, pre-assessing proficiency in the training topics. It identifies learner’s knowledge gaps so that it can tailor the training towards areas for improvement.

Identity Mind Global

Offices: Based in Palo Alto and Spokane Valley
Founded: 2011
Description: Identity Mind Global provides a range of real-time risk management, compliance and fraud prevention solutions. A favourite in the Bitcoin community, having helped bitcoin companies launch while complying with evolving regulations, Identity Mind Global has been praised for its KYC and Onboarding solutions.


Offices: Based in London, UK
Founded: 2002
Description: Met Facilities provides full regulatory hosting solutions within its FCA incubation platform providing financial firms with all relevant permissions, allowing them to undertake a wide range of activities, including EEA passporting solutions to 28 countries. They do it so well that the FT called them “solution driven with commercial awareness” and “the leading umbrella provider”. Others say that Met Facilities are unrivaled as a regulatory host in the FinTech space.


Offices: Headquarter at Hørsholm/Denmark
Founded: 2012
Description: A prime example that simple problems sometimes don’t need a complex solution. The Danish RegTech muinmos developed the cloud based platform PASS, which immediately determines whether a client is suitable to trade in a specific service and given instrument type, allowing financial institutions to realise the full potential of their global client base.


Offices: n/a
Founded: 2015
Description: What works better than peer pressure? Right, and that’s why the online tool myComplianceIQ enables individuals and organisations to benchmark their understanding of key compliance disciplines and directly compare the results against their peer group. So far you can try to break into the Hall of Fame of their AML and Anti-Bribery and Corruption tests. A module on Sanctions is coming soon. By the way, apparently, 30% of the respondents of its AML module didn’t recognise the Egmont Group as the forum for Financial Intelligence Units, though it is not said whether they picked answer b) The most active distributor of illegal drugs in the European Union or confused it with the Beethoven piece.


Offices: Based in Chicago /USA
Founded: 2015
Description: Neurensic use pattern recognition based on machine learning to identify behaviours that pose the greatest regulatory risk to each firm. The system aggregates order message data into “clusters” of related intent, which makes it easier to visualise and understand overall trader behaviour. Employing machine learning, its detection system trains itself to recognize high-risk activity from actual regulatory cases and investigations. Artificial Intelligence has beaten humans at chess and jeopardy, now it aims at insider dealing and market manipulation.


Offices: Based in London
Founded: 2014
Description: Privitar focuses on an essential aspect of data management from the start: Privacy protection. This is evidenced by the fact that their solution was actually developed considering this point from the start and at every stage of development rather than addressing the issue afterwards. Sensitive data can be masked or anonymised in compliance with regulatory requirements to regions or departments without a significant impact to data utility and ensure compliance with data protection legislation.  Data can in this way accessed safely by internal users or third parties for further analysis. Their partnership with Cloudera shows that data management solutions do not be exclusive but can essentially complement each other depending on the service and a customer’s needs.


Offices: Headquartered in Zürich, Switzerland, with offices in Barcelona, London and San Francisco
Founded: 2011
Description: Qumram is a great RegTech success story: their solution applies an existing service, i.e. data management, to a new problem, i.e. digital communications across various channels, with cutting edge technology. Qumram’s Q-Suite addresses three core channels – web, mobile and social, which records every user session. Its open architecture ensures seamless integration into any third party digital platform.They see themselves as a business enabler for compliance delivering measurable return on investment, rather than being viewed simply as a necessary evil. Exactly what RegTech should do.

Scaled Risk

Offices: Based in Paris, France
Founded: 2012
Description: With the growing amounts of data, traditional analytics won’t do anymore, so Scaled Risk developed a Big Data and in-memory analytics platform that assures real-time historical and live trade data analytics. Financial firms can in this way achieve real-time enterprise-wide risk management and compliance with both current and future regulatory obligations, while giving a bank also giving a competitive business edge. Their solution can be used for data and risk management, KYC & AML, Market Surveillance and Regulatory Reporting, so we had some difficulties to choose them for just one of our RegTech categories, but picked them for General Compliance instead.

Silverfinch / MoneyMate Group

Offices: Offices in London and Dublin
Founded: 1991
Description: The MoneyMate Group are specialists in fund data technology and runs three independent business lines to achieve better access to data. Silverfinch is its utility for “Secure Data Sharing” to allow asset managers handle the look-through requests from their Insurance Company investors. With data security at the centre of its solution and a more efficient handling of reportable data, it is easy to see why RegTechs like this one are seen as the silver bullet for the ever-increasing reporting obligations for financial institutions.


Offices: Based in Palo Alto, Sillicon Valley
Founded: 2014
Description: Skry, which rebranded earlier this year and was formerly known as Coinalytics, brings Blockchain intelligence to compliance monitoring. While it seems at times that everyone now simply adds the magic word to get attention or sound trendy, Skry were early adopters real-time intelligence service” for Bitcoin platforms and other cryptocurrencies. Leveraging Big Data analytics and AI, their platform can be used for Compliance/AML and fraud monitoring, protection from cyber threats, or performance monitoring and trader oversight.
Skry’s rebranding reflects their ambition to their services from pure Bitcoin analytics to the wider financial services industry and though they might not have the crystal ball to foretell the future, they’re in a prime position for the Blockchain banking revolution.


Offices: Headquartered San Jose, California with further US offices in Cambridge, Massachusetts, and Alexandria, Virgina plus one in London, UK
Founded: 2006
Smartlogic Semaphore content intelligence platform can be applied across industries as it simply tries to make sense of unstructured text. It auto-classifies content using taxonomies and ontologies to identify the meaningful information it contains and then creates rich metadata. Financial firms can use this to audit content, secure sensitive information, drive workflows, improve search and retrieval and discover relationships and patterns in the content. KPMG uses Semaphore to help financial services clients improve their client onboarding processes and to ensure compliance with anti-money laundering and anti-tax evasion regulations globally, which apparently helps to improve efficiency in client processing by up to 50 percent or more.


Offices: Headquartered in Zürich, Switzerland, with offices in Barcelona, London, Munich and New York
Founded: 2012
Description: Squirro describes itself as an advanced contextual intelligence and insights solution that allows organizations to efficiently manage and unlock the hidden value within data. Thanks to their proprietary Adaptive Search & Smart Filtering technology, they manage to analyse the majority of company data, which is unstructured and therefore difficult to access. As a result, data is put into a concept that connects the different sources, produces relevant results and delivers the right information at the right moment in context. RegTech like a Swiss watch.


Offices: Based in New York, U.S.A.
Founded: 2014
Description: Trust is at the centre the approach of NY RegTech Starling Trust Sciences. They are on a mission to uncover the world’s trust networks in order to make them visible, accessible, and useful to everyone, everywhere, and in every circumstance, setting their sights high. An applied behavioral sciences company, Starling combines machine learning and network science to build augmented management intelligence tools. Its predictive behavioral analytics technology reveals the performance impact of relational trust dynamics within organizations. Starling’s proprietary algorithms generate actionable insights, displayed through intuitive and customizable dashboards, which allow business leaders to drive improved performance and desired culture – and to identify and mitigate behavior-related risks.

Suade Labs

Offices: Based in London, UK
Founded: 2014
Description: Suade works with a three-step approach of Interpretation that determines where a bank stands within the current regulatory framework, Management that use Suade’s tools to manage implementation efficiently and fit within regulations, and Response that aims to maximise a firm’s business opportunity with proactive solutions. They’ve been so successful in doing this that they were invited last year to join the Bank of England and the FCA Innovation Hub to South Korea to discuss recent innovations around FinTech and RegTech. They also partnered with legal giants Simmons&Simmons who “believe Suade’s platform could revolutionise the entire process chain of regulation from publication to implementation.”


Offices: New York City
Founded: 2014
Description: The KPMG FinTech Innovation Challenge in the category Blockchain, this start-up aims to build a global trust provisioning network using distributed ledger technology. Tradle describes itself as a blockchain company helping financial institutions turn the pain of compliance into commercial opportunity. With the objective to fix a broken KYC process in retail and corporate banking, along with other compliance problems, and allowing to start experimenting with the new Uber-like business models, it’s still kind of early hours for the company, but we see huge potential.


Offices: Headquartered in Vancouver
Founded: 2011
Description: Somewhat the poster boy for successful RegTech startups, Trulioo seems to feature in any blog post that lists examples of companies leading the surge of regulatory technology revolutionizing compliance. Their tagline calls them the identity bureau and their single portal/API solution gives customers secure access to over 4 billion identities worldwide in order to comply with AML/KYC identity verification requirements.


Offices: Headquarters at San Jose in the Silicon Valley, as well as in London and Bermuda
Founded: 2013
Description: Trunomi puts the clients at the centre of the customer data management. Financial institutions and their customers are connected securely allowing individuals to create and manage their personal data with data rights management, all in line with Data Privacy Laws.

Unicorn Training Group

Offices: Offices in London and Bournemouth, UK
Founded: 1988
Description: Unicorn has been around since 1988, so they have some experience what works and what doesn’t, which must have helped them win several awards over the years. They have recently launched a new version of their Compliance & Regulatory solution ComplianceServe, which gives access to a comprehensive library of eLearning content powered by SkillsServe, Unicorn’s award-winning online learning management system, ranked the no. 1 LMS in Financial Services. Among others, they also count the BBA among there trusted partners


Offices: Headquarters in Dublin/Ireland
Founded: 2000
Description: Vizor actually sits at the other side of the table, which is regulatory reporting as its solution is focused on regulators around the world. It supports the full supervisory lifecycle with a web based data submission portal with real-time validation and a single supervision centre, which stores and processes all data and a configuration platform that allows for easy customization of the complete system. No wonder central banks and financial regulators from around the globe trust them for the collection and validation of highly complex data from financial institutions.

The PlanetCompliance RegTech Directory BETA – full version coming soon!

The RegTech Directory © 2016 PlanetCompliance

Lavanya Rathnam

Lavanya Rathnam is an experienced technology, finance, and compliance writer. She combines her keen understanding of regulatory frameworks and industry best practices with exemplary writing skills to communicate complex concepts of Governance, Risk, and Compliance (GRC) in clear and accessible language. Lavanya specializes in creating informative and engaging content that educates and empowers readers to make informed decisions. She also works with different companies in the Web 3.0, blockchain, fintech, and EV industries to assess their products’ compliance with evolving regulations and standards.

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