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3 RegTech Suppliers Guide

WELCOME TO THE REGTECH SUPPLIERS GUIDE, FROM A-TEAM INSIGHT.

We’re thrilled to present you with profiles and data on close to 100 suppliers in the RegTech world as you consider solutions for your most pressing financial regulatory challenges.

A-Team has been tracking the impact of regulations across the financial enterprise since we started back in 2001. During this time we have seen regulatory requirements become ever more complex and demanding. But we’ve also seen a burgeoning of solutions leveraging new and exciting technologies in an effort to solve those problems in innovative ways.

Navigating the many options for solutions, however, can be challenging.

The aim of this guide is to highlight the range of solutions out there but also to provide a useful cross-reference for you to source potential solutions that match your requirements. You can review solutions related to specific regulatory challenges or functionality that you might need, as well as those that are available within your region, or by the type and size of financial institution you are. And you can read more background about each firm, such as how long they’ve been established, where they are based, their size, details about any funds raised, the competitive landscape, and a full list of products they offer specific to each regulation or business function, and more.

This data was gathered by means of a questionnaire that the suppliers were invited to complete themselves. And while we haven’t verified all the information, we’ve used this as an opportunity to showcase the possibilities and to point you in the right direction so you can delve deeper into your options. I’d like to thank all the vendors who took part and shared such valuable information with us.

If you are a vendor in this space and want to know more about how to get involved in any future editions of the RegTech Suppliers Guide, or indeed any of our marketing services, please get in touch! Email [email protected] with the subject RegTech Suppliers Guide.

This RegTech Suppliers Guide complements A-Team’s other activities in this space. This year we will be hosting our third RegTech Summits in both London and New York (you can find out more about them here. This year has also already seen the launch of our brand new A-Team Insight knowledge platform, including the new RegTech Insight title. Take a look at www.regtechinsight.com and become a free member today to access our wealth of content including blogs, white papers, webinars, handbooks, and more all focused on challenges and solutions in the financial RegTech space.

As always, we’re keen to hear your feedback! Please get in touch with any comments, thoughts or requests at [email protected].

Angela Wilbraham CEO A-Team Group

Introduction



Introduction 3Table of contents 4Statistics of interest 6Company solutions by regulation 9

AIFMD 10Basel III 11BCBS 239 12Benchmark Regulations 13CFTC Regulation Automated Trading (Regulation AT) 14CFTC Rules 1.73 and 1.74 15Corep 16Dodd-Frank Volcker Rule 17Dodd-Frank 18EMIR 20Financial Market Infrastructure Act 22Finrep 23FRTB 24GDPR 25KYC / AML 26Market Abuse Regulation (MAR) 28MiFID II 29Regulation ATS 32

Contents

A-Team GroupChief Executive Officer Angela Wilbraham [email protected]

President & Chief Content Officer Andrew P. Delaney [email protected]

Data Management & TradingTech Editor Sarah Underwood [email protected]

RegTech Editor Lauren McAughtry [email protected]

Sales - Data Management Insight and RegTech Insight (mid & back office) Jo Webb [email protected]

Sales TradingTech Insight and RegTech Insight (front office) Phil Ansley [email protected]

Marketing Operations Manager Leigh Hill [email protected]

Director of Event Operations Jeri-Anne McKeon [email protected]

Events Content Manager Lorna Van Zyl [email protected]

Group Marketing Manager Claire Snelling [email protected]

Social Media Manager Jamie Icenogle [email protected]

Client Services Manager Ron Wilbraham [email protected]

Production Manager Sharon Wilbraham [email protected]

Design Victoria Wren [email protected] Postal Address Church Farmhouse Old Salisbury Road Stapleford, Salisbury Wiltshire, SP3 4LN +44-(0)20 8090 2055 [email protected]

www.a-teamgroup.com www.a-teaminsight.com www.regtechinsight.com



Contents

SEC Form PF 33SFTR 34Solvency II 35Company solutions by function 36Best Execution 37Data lineage 40Data governance 41Data privacy & digital identity 42Distributed ledger / blockchain 43Financial crime 44Infrastructure monitoring 45KYC / AML 46Market risk 48Operational risk 49Pre-trade risk 51Records retention 52Research aggregation 55Risk / capital adequacy 56Risk / risk calculations 57Trade surveillance 58Trade / transaction reporting 59Trading venues 61

Cross reference solutions by availability 63RegTech solutions by location 64RegTech solutions by target firm type 68RegTech solutions by size of financial institution 72

RegTech company profiles (listed alphabetically) 76



In this section, we present some interesting views of the data collected through this survey process.

Statistics of interest

51-100

Over 500

101-500

1-10

11-50

SPREAD OFEMPLOYEE SIZE

DISTRIBUTION OF SOLUTIONS BY REGULATION

SPLIT OF FIRMS BYOWNERSHIP STRUCTURE

Regulation ATS 5Benchmarks Regulation 6

CFTC Rules 1.73 and 1.74 7Financial Market Infrastructure Act 8

Finrep 9Corep 9CFTC Regulation Automated Trading (Regulation AT) 10

SEC Form PF 11Dodd-Frank Volcker Rule 13

Solvency II 15FRTB 15

BCBS 239 19AIFMD 20MAR 20SFTR 20

Basel III 22EMIR 27

GDPR 28Dodd-Frank 34

KYC/AML 36MiFID II 58

93TOTAL NUMBER OFREGTECH COMPANIESIN THIS GUIDE

Trust Structure 1.1%

Institutional 1.1%

Cooperative 1.1%

Limited Company 2.2%

Public 14%

VC Funded18.3%

Private 62.4%



Statistics of interest

DISTRIBUTION OF SOLUTIONS BY FUNCTIONAL CAPABILITY

DISTRIBUTION OF SOLUTIONS BYTARGET FINANCIAL INSTITUTION TYPE

DISTRIBUTION OF SOLUTIONSBY TARGET FINANCIALINSTITUTION SIZE

Research Aggregation 7Distributed Ledger/Blockchain 7

Trading Venues 12Trade Surveillance & Cyber Security 13

Risk/Capital Adequacy 14Infrastructure Monitoring 14

Data Lineage 15Data Privacy & Digital Identity 16

Other 18Pre-Trade Risk 18

Conduct Risk 21Market Risk 22Financial Crime 22

Risk/Risk Calculation 24Best Execution 24

Records Retention & Document Management 26Client Onboarding 26

Data Governance 28KYC/AML 33

Trade/Transaction Reporting 34Operational Risk Management 36

Regulatory Reporting 46

Retail 30

Regulator 35

Insurance/Plan Sponsor 39

Custodian / Fund Administrator 50

Brokerage 50

Hedge Funds/Proprietary Traders 65

Broker/Dealer 65

Investment Management 72

Investment Bank 81

Tier 181

Tier 281

Tier 368

Smallindependents

36

DISTRIBUTION OF SOLUTIONSBY TARGET REGION

Europe

89North America

78Asia/

Pacific

64Middle East

& Africa

37South

America

31

Dates for the diary

Interested in speaking? [email protected]

Interested in sponsoring? [email protected]

LONDON

October

3New YORK

NOVEMBER

14

www.RegTechInsight.com Search: RegTech Insight @regtechinsight

From A-Team Insight

Regulatory Reporting • Managing Risk & Regulatory Change • MiFID IILeveraging Innovations Using: Ai, Machine Learning, Blockchain

Fintech • KYC, AML & Financial Crime • Trade Surveillance

Companies by RegulationCompany Solutions by Regulation



RegTech Solutions: AIFMD

COMPANY NAME Product/SolutionAQMetrics Global Regulatory Reporting Hub - Annex IV

Arkivum Arkivum Shield

Bloomberg LPinstruments including the Financial Instrument Global Identifier (FIGI)

CUBE CUBE

Datactics RegMetrics; Match Engine

FundApps Shareholding Disclosure

Funds-Axis Limited AIFMD Annex IV Reporting

Global Risk Management Advisors Data and Reporting Solutions--Standard and Bespoke

iMeta Technologies Ltd. iMeta CLM

ISIN2LEI.eu ISIN2LEI.eu

LEI Smart LEI Smart

MYRIAD Group Technologies Limited Embus, MYRIAD

Scaled Risk Regtech Data Platform

SmartStream The SmartStream Reference Data Utility

Solidatus Solidatus

SteelEye Ltd. Steeleye platform

SWIFTRef Entity Plus

Veridate Financial COBA

Wolters Kluwer OneSumX



COMPANY NAME PRODUCT/SOLUTION


Bloomberg LP

Bureau van Dijk, a Moody’s Analytics Company

Moody’s Analytics BankFocus

Compact Solutions LLC MetaDex

CUBE CUBE

Datawatch Panopticon Panopticon Visual Analytics, Panopticon Streams

Gresham Technologies Clareti



La Meer Inc. GRACE ORM

Percentile RiskMine Cube, RiskMine Scenarios & Wildfire, RiskMine Chronos

Regtify Prometheus


Shield Financial Compliance Shield 2.0

SmartStream TLM, The SmartStream Reference Data Utility

Softek Softek

Solidatus Solidatus


Verint Verint Financial Compliance

Volante Technologies Volante Automated Transaction Reporting Hub


Xenomorph TimeScape EDM+

RegTech Solutions: Basel III




1View Solutions 1View (of your data)


Citihub Consulting Consultancy


CUBE CUBE

DataAxxis, LLC DataAxxis Platform

Datactics RegMetrics; SVC; Match Engine

GoldenSource Corporation GoldenSource BCBS239


Huma Americas LLC Huma WhiteBox®; WhiteBox Rapport®

MYRIAD Group Technologies Limited MYRIAD

Percentile RiskMine Cube

Regtify Prometheus



Solidatus Solidatus




RegTech Solutions: BCBS 239




Aqubix Ltd KYC Portal

Bloomberg LP Instrument Global ldentifier (FIGI) for benchmark identification

CUBE CUBE

MYRIAD Group Technologies Limited CODUDE



RegTech Solutions: Benchmark Regulations





CUBE CUBE

DataAxxis, LLC DataAxxis Platform (We presented to CFTC)

Fonetic Fonetic Trade Comms Suite

IPC Systems Inc MiFID, Unigy, Unigy 360, Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance, Policy Engine

Quantum Tech Quantum

Scila AB Scila Surveillance



Volante Technologies Volante Designer Suite

RegTech Solutions: CFTC Regulation Automated Trading (Regulation AT)






CUBE CUBE


FundApps Position Limits


RegTech Solutions: CFTC Rules 1.73 and 1.74





CUBE CUBE

Datactics RegMetrics

IMVS Limited APA

Regtify Prometheus

Solidatus Solidatus



RegTech Solutions: Corep




Appway Not known


Bloomberg LP Data solutions to enable compliance

BLX Limited (trading as RegBot) Covered Funds bot

CUBE CUBE




Solidatus Solidatus





RegTech Solutions: Dodd-Frank Volcker Rule






BLX Limited (trading as RegBot) Covered Funds bot

Catena Technologies TRACE Reporting



CUBE CUBE

Custodia Technology Voice and Data Capture, Database Analytics, Professional Services, Automation, Reporting & Monitoring.



Equiniti KYC Solutions KYCnet




IPC Systems Inc MiFID, Unigy, Unigy 360, Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance


Kaizen Reporting Accuracy Testing, Reference Data Testing, Advanced Reconciliation and Control Framework.

Kompli-Global Kompli-Global

La Meer Inc. GRACE ORM and GRACE Compliance

LEI Smart LEI Smart


RegTek.Solutions Validate.Trade / Reportable.Trade / Reconcile.Trade / Load.Trade



RegTech Solutions: Dodd-Frank



SmartStream TLM

Solidatus Solidatus



UnaVista, London Stock Exchange Routing to DTCC Trade Repository



Volante Technologies Volante for Dodd-Frank


RegTech Solutions: Dodd-Frank (cont)




Appway Not known



Cappitech Regulation Transaction Reporting



CUBE CUBE


Datactics Match Engine

Eurobase International Group (Eurobase)

Siena Regulatory Reporter






LEI Smart LEI Smart





Solidatus Solidatus



UnaVista, London Stock Exchange UnaVista Trade Repository


RegTech Solutions: EMIR





RegTech Solutions: EMIR (cont)





CUBE CUBE



UnaVista, London Stock Exchange External routing for transaction reporting to SIX




RegTech Solutions: Financial Market Infrastructure Act





CUBE CUBE



Regtify Prometheus

Solidatus Solidatus



RegTech Solutions: Finrep




1View Solutions 1View Trades


Bloomberg LP Bloomberg LP


CUBE CUBE


GoldenSource Corporation GoldenSource FRTB


Percentile RiskMine FRTB

Regtify Prometheus

Solidatus Solidatus

TickSmith Corp. TickVault




RegTech Solutions: FRTB




1View Solutions 1View GDPR

Alyne Alyne SaaS

Appway Not known

Aqubix Ltd GDPR Auto


BLX Limited (trading as RegBot) MiFID II bot



CUBE CUBE


Datactics Match Engine; Single View of Client/Customer (SVC)

emagine Time-as-a-Service (TaaS)


IMVS Limited APA


KyoLAB Limited KyoLAB

La Meer Inc. GRACE GDPR

MPI Europe Limited Consulting solution

MYRIAD Group Technologies Limited Embus; MYRIAD

Privitar Privitar Publisher



Solidatus Solidatus

Trunomi Trunomi Consent & Data Rights Management Platform


Verint Verint Customer Analytics, Verint Encryption, Verint Automated Verification, Verint Recording

RegTech Solutions: GDPR




Appway Not known




Orbis & Compliance Catalyst/ Compliance Catalyst for Banks


CUBE CUBE


Datactics Match Engine; SVC

eClerx Services Limited Compliance Manager

emagine NeEX

encompass corporation encompass confirm


GoldenSource Corporation GoldenSource Client Onboarding



IMVS Limited APA & eAPP


kompany k-Corporate Package, k-Business Package



La Meer Inc. GRACE AML

LEI Smart LEI Smart

MPI Europe Limited Consulting solution and partner with Encompass Confirm

MYRIAD Group Technologies Limited Embus

OpenCorporates Global company database accessed via API or bulk data

RegTech Solutions: KYC / AML



RDC RDC Review



SmartStream TLM

Solidatus Solidatus





RegTech Solutions: KYC / AML (cont)






CARDABEL CARDABEL

CUBE CUBE





La Meer Inc. GRACE Trade Monitoring

LEI Smart LEI Smart

Market EarlyBird.com EarlyBird





UnaVista, London Stock Exchange Transaction Intelligence for surveillance and behavioural alerts




RegTech Solutions: Market Abuse Regulation (MAR)



COMPANY PRODUCT/SOLUTION

Appway Not known

AQMetrics AQMetrics ARM


Bloomberg LP Comprehensive data solutions for MiFID compliance, Bloomberg LEI, APA and ARM reporting solutions, trading solutions including Bloomberg MTF


BMLL Technologies Limited Post Trade Analysis, Best Execution, TCA

Cappitech Regulation Transaction Reporting, RTS 27/28, Best Execution Monitoring



Corvil Corvil Analytics / Corvil Intelligence Hub

CUBE CUBE



Datactics Match Engine; MiFID II Toolkit






FE FE European MiFID II Template for Asset Managers & Institutions

FeedStock Ltd FeedStock Analytics


FundApps Position Limits

GoldenSource Corporation GoldenSource MiFID II

RegTech Solutions: MiFID II





IMVS Limited APA

IPC Systems Inc Unigy, Unigy 360, Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance



kompany k-Corporate Package



La Meer Inc. GRACE Client Management

LEI Smart LEI Smart


Metamako MetaWatch

MPI Europe Limited Castine Research and Compliance Solutions


OpenCorporates LEI feed connected to our global company database



Regtify Prometheus

RSRCHXchange Research Unbundling




SmartStream The SmartStream Reference Data Utility, TLM

Solidatus Solidatus


RegTech Solutions: MiFID II (cont)





UnaVista, London Stock Exchange MiFIR ARM and ancillary services including Recs, Commodities Positions Reporting, Reference Data Reporting,






RegTech Solutions: MiFID II (cont)





CUBE CUBE




RegTech Solutions: Regulation ATS





CUBE CUBE



Funds-Axis Limited Form PF Reporting


La Meer Inc. GRACE Form PF

LEI Smart LEI Smart

SmartStream TLM



RegTech Solutions: SEC Form PF





Bloomberg LP Solutions to meet reference data challenges for SFTR reporting.

Cappitech Regulation Transaction Reporting



CUBE Consultancy


emagine NeEX



GoldenSource Corporation GoldenSource SFTR


LEI Smart LEI Smart

RegTek.Solutions Validate.Trade / Load.Trade

Solidatus Solidatus


UnaVista, London Stock Exchange Trade Repository, Accelerator (pre-UAT project management tool)




RegTech Solutions: SFTR




AQMetrics Global Regulatory Reporting Hub - TPT reporting

Bloomberg LP Reference data including Financial Instrument Global Identifier (FIGI)


CUBE CUBE



GoldenSource Corporation GoldenSource Solvency II


LEI Smart LEI Smart

Regtify Prometheus


SmartStream The SmartStream Reference Data Utility

Solidatus Solidatus



RegTech Solutions: Solvency II

Companies by RegulationCompanies by Function



RegTech Solutions: Best Execution


Alyne Alyne SaaS


Bloomberg LP Best Execution Analysis (BTCA)

BMLL Technologies Limited Best Execution

Cappitech Regulation Best Execution Analysis and Transaction Monitoring

CARDABEL CARDABEL


Corvil Corvil Intelligence Hub


emagine NeEX

ETFLogic ETFLogic Compliance Suite




IMVS Limited APA








Sterling Trading Tech Sterling Trader Pro



RegTech Solutions: Client Onboarding




Appway Onboarding for Retail, Onboarding for Wealth


Bloomberg LP Entity Exchange, Bloomberg LEI


Orbis & Compliance Catalyst


Datactics Match Engine





IMVS Limited eAPP





La Meer Inc. GRACE Client Management

LEI Smart LEI Smart

MPI Europe Limited Partner with Encompass Confirm


OpenCorporates Global company database accessed via API

Pendo Systems Pendo Platform

RDC RDC Review




Volante Technologies Volante Designer

RegTech Solutions: Conduct Risk

RegTech Solutions: Best Execution (cont)













La Meer Inc. All GRACE Modules



Regtify Prometheus



Sterling Trading Tech Sterling Risk Engine



Wolters Kluwer OneSumX for Conduct Risk

COMPANY NAME PRODUCT/SOLUTIONRegTech Solutions: Best Execution (cont)




1View Solutions 1View OpenRefdata


Bloomberg LP Financial Instrument Global Identifier (FIGI) framework


Orbis

Compact Solutions LLC MetaDex (we’re a leader, we partner with IBM, Collibra and Informatica here).

Datactics RegMetrics has some applications here

GoldenSource Corporation GoldenSource EDM Platform




Solidatus Solidatus



Wolters Kluwer OneSumX for Regulatory Reporting


RegTech Solutions: Data Lineage




3 Lines of Defence Consulting Ltd A variety, including C-Hub

Alyne Alyne SaaS





Orbis



CUBE CUBE


Datactics RegMetrics has some applications here

GoldenSource Corporation GoldenSource EDM Platform


Huma Americas LLC Huma WhiteBox®





RDC RDC GRID




Solidatus Solidatus





RegTech Solutions: Data Governance



IdentityCOMPANY NAME PRODUCT/SOLUTION

3 Lines of Defence Consulting Ltd A variety, including C-Hub and Galaxkey

Alyne Alyne SaaS

Appway GDPR addressed in: Regulatory Reviews for Wealth, Onboarding for Retail, Onboarding for Wealth




CUBE CUBE


La Meer Inc. GRACE GDPR


Privitar Privitar Publisher; Privitar SecureLink


Solidatus Solidatus





RegTech Solutions: Data Privacy & Digital





kompany We are currently developing an on-chain business KYC solution


SmartStream TLM

Solidatus Solidatus



RegTech Solutions: Distributed Ledger / Blockchain




Appway Regulatory Reviews for Wealth




CARDABEL CARDABEL






La Meer Inc. GRACE AML




RDC RDC Review


Solidatus Solidatus




Verint Verint Branch Surveillance & Investigation, Desktop & Process Analytics, Identity Analytics, Voice Self-Service Fraud Detection

Wolters Kluwer OneSumX Financial Crime Control

RegTech Solutions: Financial Crime





Corvil Corvil Analytics

Custodia Technology Custodia View


emagine NeEX

GoldenSource Corporation GoldenSource OnDemand

IMVS Limited RMR

IPC Systems Inc Control and Overisght analytics, Call Match, Recording Check


Metamako MetaWatch




Verint Verint Financial Compliance - Automated Verification

RegTech Solutions: Infrastructure Monitoring




Appway Regulatory Reviews for Wealth, Onboarding for Retail, Onboarding for Wealth


Bloomberg LP Entity Exchange, Bloomberg LEI




Datactics Match Engine; SVC

eClerx Services Limited Compliance Manager

emagine NeEX






IMVS Limited APA & eAPP





La Meer Inc. GRACE Client Management and GRACE AML

LEI Smart LEI Smart





RDC RDC Review

RegTech Solutions: KYC / AML





SmartStream TLM

Solidatus Solidatus




Wolters Kluwer OneSumX AML

RegTech Solutions: KYC / AML (cont)












GoldenSource Corporation GoldenSource Market Data Solution

IPC Systems Inc Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance, Policy Engine




Percentile RiskMine Cube, RiskMine Scenarios & Wildfire, RiskMine Chronos


Regtify Prometheus


Softek Softek

Sterling Trading Tech Sterling Trading Engine



Wolters Kluwer OneSumX for Risk


RegTech Solutions: Market Risk




Alyne Alyne SaaS

AQMetrics AQMetrics Supervisory Control Portal


Bloomberg LP including the FIGI to enable accurate inventory and risk management




CARDABEL CARDABEL






emagine NeEX




IMVS Limited APA, IMPACT & RMR



La Meer Inc. GRACE ORM



OpenCorporates Corporate events data feed



RegTech Solutions: Operational Risk



Regtify Prometheus



Solidatus Solidatus





Verint Verint Financial Compliance - Automated Verification

Wolters Kluwer OneSumX for GRC


RegTech Solutions: Operational Risk (cont)






CARDABEL CARDABEL




IMVS Limited APA & IMPACT



La Meer Inc. GRACE Compliance - Pre-trade approval management

Metamako C/E/K-Series




Softek Softek

Sterling Trading Tech Sterling Aggregtor



RegTech Solutions: Pre-Trade Risk




Appway Appway Platform, Appway Digital Banking Platform

AQMetrics AQMetrics Supervisory Control Portal

Aqubix Ltd Cabinet EDMS


Bloomberg LP BVAULT record keeping and trade reconstruction

Cappitech Regulation Regulatory File Management



CUBE CUBE


Dash Regulatory Technologies, LLC Financial Reporting Responsibility


eClerx Services Limited DocIntel



IMVS Limited APA & CRM

IPC Systems Inc Trader voice recoding, Mobile voice recording, Speech to text conversation







Solidatus Solidatus




RegTech Solutions: Records Retention




1View Solutions 1View

Alyne Alyne SaaS


AQMetrics Global Regulatory Reporting Hub


Bloomberg LP Bloomberg ARM and APA for MiFID II Reporting


Orbis & Moody’s Analytics BankFocus

Cappitech Regulation Cross Regulation Transaction Reporting





Dash Regulatory Technologies, LLC Risk Based Haircuts, Fixed Income Haircuts, Repo/Reverse Repo, Stock Borrow/Stock Loan, Stock Allocation, Customer Portfolio Margin, Supplemental Inventory Schedules


Datactics RegMetrics; Match Engine; SVC; MiFID II Toolkit





FE MiFID II and PRIIPs solutions, DCPT & FVPT



Funds-Axis Limited AIFMD Annex IV Reporting, 13F Reporting

Global Risk Management Advisors Form PF, AIFMD/Annex IV, CPO/PQR, N-PORT, Open Protocol, Investor Transparency Reporting, etc.

GoldenSource Corporation GoldenSource Reporting Framework

RegTech Solutions: Regulatory ReportingRegTech Solutions: Regulatory Reporting




IMVS Limited APA & RMR




La Meer Inc. GRACE Form PF

LEI Smart LEI Smart




Regtify Prometheus



Softek Softek

Solidatus Solidatus



UnaVista, London Stock Exchange UnaVista



Wolters Kluwer OneSumX for Regulatory Reporting


RegTech Solutions: Regulatory Reporting (cont)




Bloomberg LP Research services available through the Bloomberg Terminal



FeedStock Ltd FeedStock Analytics

MPI Europe Limited Castine MiFID Research and Compliance Solutions


RSRCHXchange RSRCHX

Solidatus Solidatus

RegTech Solutions: Research Aggregation




1View Solutions 1View ALD




GoldenSource Corporation GoldenSource Risk Master

IMVS Limited RMR


Percentile RiskMine Cube

Regtify Prometheus

Softek Softek





RegTech Solutions: Risk / Capital Adequacy




Alyne Alyne SaaS



AQMetrics Risk-as-a-Service




Corvil Corvil Intelligence Hub

Datactics (All solutions relevant in pre-calculation)



Funds-Axis Limited Value at Risk


GoldenSource Corporation GoldenSource Risk Master




Percentile RiskMine Cube, RiskMine Scenarios & Wildfire

Regtify Prometheus


Softek Softek





RegTech Solutions: Risk / Risk Calculations




Bloomberg LP BVAULT record keeping and trade reconstruction

BMLL Technologies Limited Compliance & Surveillance Toolkit

CARDABEL CARDABEL











RegTech Solutions: Trade Surveillance




AQMetrics AQMetrics ARM


Bloomberg LP Bloomberg ARM and APA for MiFID II reporting

Cappitech Regulation End to end reporting

CARDABEL CARDABEL



Corvil Corvil and NEX Abide Financial

Datactics Match Engine; RegMetrics




GoldenSource Corporation GoldenSource Reporting Framework


Huma Americas LLC Huma WhiteBox®; WhiteBox Rapport

IMVS Limited APA (MIFID II)

IPC Systems Inc Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance




LEI Smart LEI Smart






RegTech Solutions: Trade / Transaction Reporting



SmartStream TLM

Solidatus Solidatus


Sterling Trading Tech Sterling Aggregator






RegTech Solutions: Trade / Transaction Reporting (cont)




Bloomberg LP Bloomberg MTF Routing and Execution




IMVS Limited APA

IPC Systems Inc Connexus Ethernet, Connexus Extranet, FX Hub, Connexus Chrono, Connexus WAN







RegTech Solutions: Trading Venues

FRTB Special Report

sponsored by

RegTechDataManagementTradingTech

www.a-teaminsight.com

@ATeamInsightSearch: A-Team Insight

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Companies by RegulationCross Reference of Solutions by Availability



RegTech Solutions by Location

REGTECH PROVIDER ACTIVE IN EUROPE

ACTIVE IN NORTH

AMERICA

ACTIVE IN SOUTH

AMERICA

ACTIVE IN MIDDLE EAST & AFRICA

ACTIVE IN ASIA/

PACIFIC

1View Solutions 33 Lines of Defence Consulting Ltd

3 3

Accuity 3 3 3 3 3Alyne 3 3Appway 3 3 3 3AQMetrics 3 3Aqubix Ltd 3Aquis Exchange 3 3 3Arkivum 3 3 3AudioCodes 3 3 3 3 3Bloomberg LP 3 3 3 3 3BLX Limited (trading as RegBot)

3 3

BMLL Technologies Limited

3 3 3


3 3 3 3 3

Cappitech Regulation 3 3 3CARDABEL 3 3 3Catena Technologies 3 3 3Citihub Consulting 3 3 3 3ClauseMatch 3Compact Solutions LLC 3 3 3 3Corvil 3 3 3 3 3CUBE 3 3 3 3Custodia Technology 3 3 3 3 3





ACTIVE IN NORTH

AMERICA

ACTIVE IN SOUTH

AMERICA


ACTIVE IN ASIA/

PACIFIC

Dash Regulatory Technologies, LLC

3

DataAxxis, LLC 3Datactics 3 3 3 3 3Datawatch Panopticon 3 3 3 3 3Donnelly Financial Solutions

3 3 3 3 3

eClerx Services Limited 3 3 3emagine 3 3 3encompass corporation 3 3Enforcd 3 3 3Equiniti KYC Solutions 3ETFLogic 3Eurobase International Group (Eurobase)

3 3 3

Euromoney TRADEDATA 3 3 3Exchange Data International

3 3 3 3

FE 3 3 3FeedStock Ltd 3 3 3Fonetic 3 3 3FundApps 3 3 3 3 3Funds-Axis Limited 3 3Global Risk Management Advisors

3 3 3 3 3

GoldenSource Corporation 3 3 3 3Gresham Technologies 3 3 3Hawk Search Limited 3 3 3 3Huma Americas LLC 3 3





ACTIVE IN NORTH

AMERICA

ACTIVE IN SOUTH

AMERICA


ACTIVE IN ASIA/

PACIFIC

iMeta Technologies Ltd. 3 3 3IMVS Limited 3IPC Systems Inc 3 3 3 3 3ISIN2LEI.eu 3Kaizen Reporting 3 3 3kompany 3 3 3Kompli-Global 3 3 3 3 3KyoLAB Limited 3 3 3 3 3La Meer Inc. 3 3LEI Smart 3 3 3 3 3Market EarlyBird.com 3 3 3McObject 3 3 3 3 3Metamako 3 3 3 3 3MPI Europe Limited 3MYRIAD Group Technologies Limited

3 3 3

OpenCorporates 3 3OpenGamma 3 3 3Opus 3 3 3 3 3Opus Nebula 3 3OTC FIN 3 3Pendo Systems 3Percentile 3 3Privitar 3 3 3Quantum Tech 3 3 3 3 3RDC 3 3 3





ACTIVE IN NORTH

AMERICA

ACTIVE IN SOUTH

AMERICA


ACTIVE IN ASIA/

PACIFIC

REGnosys Limited 3 3RegTek.Solutions 3 3Regtify 3 3RSRCHXchange 3 3 3 3 3Scaled Risk 3Scila AB 3 3 3 3 3Shield Financial Compliance

3 3 3 3 3

SmartStream 3 3 3 3 3Softek 3 3 3Solidatus 3 3 3SteelEye Ltd. 3Sterling Trading Tech 3 3 3 3 3SWIFTRef 3 3 3 3 3Thesys Technologies 3 3TickSmith Corp. 3 3 3Trunomi 3 3 3 3UnaVista, London Stock Exchange

3 3 3 3 3

Veridate Financial 3 3Verint 3 3 3 3 3Volante Technologies 3 3 3 3Wolters Kluwer 3 3 3 3Xenomorph 3 3 3 3 3



RegTech Solutions by Firm Type

REGTECH PROVIDER

BRO

KERA

GE

BRO

KER/

DEAL

ER

CUST

ODI

AN/

FUN

DS

ADM

INIS

TRAT

OR

HED

GE F

UN

D/PR

OPR

IETA

RY

TRAD

ER

INSU

RAN

CE/

PLAN

SPO

NSO

RIN

VEST

MEN

T BA

NK

INVE

STM

ENT

MAN

AGEM

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REGU

LATO

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RETA

IL

1View Solutions 3 3 3 33 Lines of Defence Consulting Ltd 3 3 3 3 3 3Accuity 3 3 3 3 3 3 3 3 3Alyne 3 3 3 3 3 3 3 3 3Appway 3 3 3 3 3 3 3AQMetrics 3 3 3 3Aqubix Ltd 3 3 3Aquis Exchange 3 3 3Arkivum 3 3 3 3 3 3 3 3 3AudioCodes 3 3 3 3 3 3 3Bloomberg LP 3 3 3 3 3 3 3 3 3BLX Limited (trading as RegBot) 3 3 3 3 3 3BMLL Technologies Limited 3 3 3 3 3Bureau van Dijk, a Moody’s Analytics Company

3 3 3 3 3 3 3 3 3

Cappitech Regulation 3 3 3 3 3 3 3CARDABEL 3 3 3 3 3 3 3Catena Technologies 3 3 3 3 3 3Citihub Consulting 3 3 3 3 3 3ClauseMatch 3 3Compact Solutions LLC 3 3 3 3 3 3Corvil 3 3 3 3CUBE 3 3 3 3 3Custodia Technology 3 3 3 3 3 3 3




REGTECH PROVIDER

BRO

KERA

GE

BRO

KER/

DEAL

ER

CUST

ODI

AN/

FUN

DS

ADM

INIS

TRAT

OR

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GE F

UN

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OPR

IETA

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TRAD

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INSU

RAN

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MAN

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REGU

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Dash Regulatory Technologies, LLC 3 3 3DataAxxis, LLC 3 3 3 3 3 3 3 3Datactics 3 3 3 3 3 3 3 3 3Datawatch Panopticon 3 3 3 3 3 3Donnelly Financial Solutions 3 3 3 3 3 3 3 3eClerx Services Limited 3 3 3 3emagine 3 3 3 3 3encompass corporation 3 3 3 3 3 3Enforcd 3 3 3 3 3Equiniti KYC Solutions 3 3 3 3ETFLogic 3 3 3 3 3 3 3Eurobase International Group (Eurobase)

3 3 3

Euromoney TRADEDATA 3 3 3Exchange Data International 3 3 3FE 3 3 3 3FeedStock Ltd 3 3 3 3 3Fonetic 3 3 3FundApps 3 3 3 3 3Funds-Axis Limited 3 3 3Global Risk Management Advisors 3 3 3 3 3 3 3GoldenSource Corporation 3 3 3 3 3 3Gresham Technologies 3 3 3 3 3 3Huma Americas LLC 3 3 3 3




REGTECH PROVIDER

BRO

KERA

GE

BRO

KER/

DEAL

ER

CUST

ODI

AN/

FUN

DS

ADM

INIS

TRAT

OR

HED

GE F

UN

D/PR

OPR

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TRAD

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INSU

RAN

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REGU

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iMeta Technologies Ltd. 3 3 3 3 3 3 3IMVS Limited 3IPC Systems Inc 3 3 3 3 3ISIN2LEI.eu 3 3 3 3Kaizen Reporting 3 3 3 3 3kompany 3 3 3 3 3Kompli-Global 3 3KyoLAB Limited 3 3 3 3 3 3 3 3La Meer Inc. 3 3 3 3 3 3 3LEI Smart 3 3 3 3 3Market EarlyBird.com 3 3 3 3 3McObject 3 3 3 3 3 3 3 3 3Metamako 3 3 3 3 3 3MPI Europe Limited 3 3 3 3 3 3MYRIAD Group Technologies Limited 3 3 3 3 3 3 3OpenCorporates 3 3OpenGamma 3 3 3Opus 3Opus Nebula 3 3 3OTC FIN 3 3 3 3 3Pendo Systems 3 3Percentile 3 3 3 3Privitar 3 3




REGTECH PROVIDER

BRO

KERA

GE

BRO

KER/

DEAL

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CUST

ODI

AN/

FUN

DS

ADM

INIS

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TRAD

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Quantum Tech 3 3 3RDC 3 3 3 3 3 3REGnosys Limited 3RegTek.Solutions 3 3 3 3 3 3 3 3 3Regtify 3 3 3 3RSRCHXchange 3 3 3Scaled Risk 3 3 3 3 3Scila AB 3 3 3 3 3 3 3 3 3Shield Financial Compliance 3 3 3 3 3 3 3SmartStream 3 3 3 3 3 3 3 3Softek 3 3 3Solidatus 3 3 3 3 3 3SteelEye Ltd. 3 3 3 3 3 3 3 3Sterling Trading Tech 3 3 3SWIFTRef 3 3 3 3 3 3 3Thesys Technologies 3 3 3 3TickSmith Corp. 3 3 3 3 3 3Trunomi 3UnaVista, London Stock Exchange 3 3 3 3 3 3 3 3 3Verint 3 3 3 3 3 3 3 3Volante Technologies 3 3 3 3 3 3 3Wolters Kluwer 3 3 3 3 3 3 3 3 3Xenomorph 3 3 3 3 3 3 3 3 3



RegTech Solutions by Size of Financial Institution

REGTECH PROVIDER TARGETING TIER 1

FINANCIAL INSTITUTION

TARGETING TIER 2


TARGETING TIER 3


TARGETING SMALL

INDEPENDENT FINANCIAL

INSTITUTION1View Solutions 33 Lines of Defence Consulting Ltd

3 3 3 3

Accuity 3 3 3Alyne 3 3 3Appway 3 3 3AQMetrics 3Aqubix Ltd 3 3 3Aquis Exchange 3 3 3 3Arkivum 3 3 3 3AudioCodes 3 3 3Bloomberg LP 3 3 3BLX Limited (trading as RegBot)

3 3 3

BMLL Technologies Limited

3 3 3 3


3 3 3

Cappitech Regulation 3 3 3CARDABEL 3 3 3Catena Technologies 3 3 3Citihub Consulting 3 3ClauseMatch 3 3 3Compact Solutions LLC 3Corvil 3 3 3 3CUBE 3Custodia Technology 3 3 3






TARGETING TIER 2


TARGETING TIER 3


TARGETING SMALL


INSTITUTIONDash Regulatory Technologies, LLC

3 3 3 3

DataAxxis, LLC 3 3 3Datactics 3 3 3 3Datawatch Panopticon 3 3Datawatch Panopticon 3 3 3eClerx Services Limited 3 3emagine 3 3 3 3encompass corporation 3 3 3Enforcd 3 3 3 3Equiniti KYC Solutions 3 3 3 3ETFLogic 3 3 3 3Eurobase International Group (Eurobase)

3 3 3

Euromoney TRADEDATA 3Exchange Data International

3 3 3 3

FE 3 3 3 3FeedStock Ltd 3Fonetic 3 3FundApps 3 3 3Funds-Axis Limited 3 3 3Global Risk Management Advisors

3 3 3 3

GoldenSource Corporation

3 3

Gresham Technologies 3Huma Americas LLC 3 3 3






TARGETING TIER 2


TARGETING TIER 3


TARGETING SMALL


INSTITUTIONiMeta Technologies Ltd. 3 3IMVS Limited 3 3IPC Systems Inc 3 3 3ISIN2LEI.eu 3 3Kaizen Reporting 3 3kompany 3 3 3Kompli-Global 3KyoLAB Limited 3 3 3 3La Meer Inc. 3 3 3 3LEI Smart 3 3 3 3Market EarlyBird.com 3 3McObject 3 3 3 3Metamako 3 3 3 3MPI Europe Limited 3 3 3 3MYRIAD Group Technologies Limited

3 3

OpenCorporates 3 3 3 3OpenGamma 3 3Opus 3 3 3Opus Nebula 3 3 3 3OTC FIN 3 3 3Pendo Systems 3 3 3 3Percentile 3 3Privitar 3Quantum Tech 3 3 3RDC 3 3






TARGETING TIER 2


TARGETING TIER 3


TARGETING SMALL


INSTITUTIONREGnosys Limited 3 3RegTek.Solutions 3 3Regtify 3 3 3 3RSRCHXchange 3 3 3 3Scaled Risk 3 3Scila AB 3 3 3 3Shield Financial Compliance

3 3 3

SmartStream 3 3 3Softek 3 3Solidatus 3 3 3SteelEye Ltd. 3 3 3 3Sterling Trading Tech 3 3 3 3SWIFTRef 3 3 3Thesys Technologies 3 3 3TickSmith Corp. 3 3 3Trunomi 3 3 3 3UnaVista, London Stock Exchange

3 3 3

Verint 3 3 3Volante Technologies 3 3 3 3Wolters Kluwer 3 3 3 3Xenomorph 3

Companies by RegulationRegTech Company Profiles



1View Solutions

REGULATORY SOLUTIONS Major Regulations GDPR: 1View GDPR FRTB: 1View Trades

Additional Regulations BCBS 239: 1View (of your data)

BUSINESS FUNCTION SOLUTIONS Data Lineage: 1View OpenRefdata Regulatory Reporting: 1View Risk/Capital Adequacy: 1View ALD

REGIONS SELLING IN 3 Europe

TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Investment Bank 3 Investment Management

FIRM SIZES TARGETED 3 Tier 1

TARGET JOB TITLES Business operations, Regulatory reporting

COMPANY OVERVIEW Our proven software allows companies with complex multi-siloed infrastructures to practically and very efficiently consolidate all their business data and events. Enabling them to truly deliver regulation requirements and begin to compete with the newer, internet designed companies with fully integrated operations.

DATE FOUNDED 2003

OWNERSHIP STRUCTURE Private

COMPANY HEADQUARTERS 20 Barlings Road Harpenden AL5 2AN UK

TOTAL FUNDING RAISED > £2m

NUMBER OF EMPLOYEES 1-10

COMPETITORS IT committees

SALES CONTACT Nigel Pickering

T 0777 1818 745

E [email protected]

CEO Nigel Pickering

ABOUT THE CEO Many years of hands-on experience in designing, building and running IT applications with Global Banks

FUTURE PLANS Ongoing continuous development



COMPANY OVERVIEW 3 Lines of Defence Consulting (3LDC) provides clients with specialist focused advisory and support services, with effective practical delivery, drawing on the our extensive “hands on experience”. Teams are led by a combination of former C-Suite, heads of function and other senior managers. We understand the needs from the client’s perspective. The services encompass governance/regulatory/control frameworks and projects, GDPR, financial crime prevention, SMCR, ethics, culture, OpRisk, expert witness, training and mentoring. 3LDC delivers through blended combinations of industry experts and Reg Tech. The firm advises UK and international clients ranging across the financial service sectors. Clients range from start-ups to Tier 1 financial firms, as well as professional service firms, legal firms and across to corporates. In the financial sector, 3LDC supports clients in their interaction with the FCA, including authorisations and variations of permission. We also draw on out partnership network of firms to provide a broader umbrella of services.

DATE FOUNDED 2014


COMPANY HEADQUARTERS 67 Grosvenor Street Mayfair London W1K 3JN UK


COMPETITORS Large, Mid-tier and boutique specialists consultants in the regulatory sector. For certain aspects of the business it includes law firms, accountancy firms and Reg Tech providers for products around GDPR.

CEO Simon Elvidge

ABOUT THE CEO Simon Elvidge has over 25 years compliance, financial crime prevention, governance and broad control function experience (OP Risk/IAD). This experience has been gained across a wide variety of financial firms, covering both the buy and sell side of the industry. His core skill set encompasses the building, re-engineering and enhancing the governance/regulatory/control structures in the ever-changing regulatory environment. A key part of his approach has been to engage with, understand and be involved in all areas of the businesses, from senior management, through front office, to support functions and control functions. Prior to establishing 3LDC, Simon has held multiple senior management level positions, including board directorships, global head of Compliance roles and managing other control functions for international financial organisations (from major firms through to niche players). The multiple financial firms where Simon has lead international teams in senior roles have included the Societe Generale group, Numis Securities, HSBC, Intesa SanPaolo, Nikko group, Matrix Group and Gain Capital/ City Index. Simon’s financial product/service coverage encompasses: Asset Management: UCITS, UCIS/alternatives (including single manager funds, multi-manager funds, fund of funds and third party funds, & Irish UCITS platform), LSE listed VCTs/Investment Trusts, and private equity. Investment Banking/Broking: Corp finance, listings, research, sales, trading/broking, market making, prime brokerage for wholesale & retail sectors. This includes

3 Lines of Defence Consulting



TARGET JOB TITLES C-Suite generally (Financial & Corporate), Data Protection Officers, Heads of Compliance, Heads of Risk, Heads of HR, Heads of IT, Heads of Legal, Law firm partners, etc.

REGULATORY SOLUTIONS Major Regulations MiFID II: Yes GDPR: Yes + A variety of products SFTR: Yes MAR: Yes KYC/AML: Yes

Additional Regulations AIFMD: Yes

BUSINESS FUNCTION SOLUTIONS Data Governance: A variety, including C-Hub Data Privacy & Digital Identity: A variety, including C-Hub and Galaxkey

REGIONS SELLING IN 3 Europe 3 North America

TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management 3 Corporate

FIRM SIZES TARGETTED 3 Tier 1 3 Tier 2 3 Tier 3 3 Small Independents 3 Corporate

(but not limited to) securities, derivatives, FX and commodities. Simon has previously and currently, actively participated in trade association activities (e.g. currently AIMA & BVCA and previously AFME & FIA). This includes participating in committees, working groups, presenting at international conferences, conducting industry training programmes and representing the industry in front of regulators. Simon is also a Board Director of a private equity firm.

FUTURE PLANS 3LDC continues to enhance its broad consultancy services focused around governance, regulation and control. A rapidly expanding business line being GDPR. Future key areas include SMCR and support service for law firms in the litigation sector.

3 Lines of Defence Consulting (cont)



3 Regulator 3 Retail

FIRM SIZES TARGETED 3 Tier 1 3 Tier 2 3 Tier 3

TARGET JOB TITLES Compliance, AML, Financial Crime, Legal, IT, Operations, Payments

REGIONS SELLING IN 3 Europe 3 North America 3 South America 3 Middle East & Africa 3 Asia/Pacific

TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management

COMPANY OVERVIEW Accuity offers a suite of innovative solutions for payments and compliance professionals, from comprehensive data and software that manage risk and compliance, to flexible tools that optimize payments pathways. With deep expertise and industry-leading data-enabled solutions from the Fircosoft, Bankers Almanac and NRS brands, our portfolio delivers protection for individual and organizational reputations. Part of RELX Group, a world-leading provider of information and analytics for professional and business customers across industries, Accuity has been delivering solutions to banks and businesses worldwide for 180 years.

DATE FOUNDED 1836

OWNERSHIP STRUCTURE Accuity is part of RELX Group, which is publicly held.

COMPANY HEADQUARTERS 1007 Church Street Evanston, IL 60201 USA

NUMBER OF EMPLOYEES Over 500

SALES CONTACT Jay Ryan, EVP Sales (Americas)/Sean Norris, EVP Sales (EMEA/APAC)

T 44 207 653 3800

E [email protected]

CEO Hugh M. Jones IV

ABOUT THE CEO Hugh Jones is President and CEO of Accuity, having joined RBI in 2011 as part of RBI’s acquisition of Accuity and NRS and integration with Bankers Almanac. Prior to joining Accuity, Hugh spent more than 15 years providing rich data streams to solve difficult business challenges. Hugh is also Group Managing Director for FlightGlobal and Estates Gazette within RBI.

Accuity



Act 1998 Other Regulations: Abgabenordnung/German Tax Code, Australian Privacy Principles, ASD Protect Essential Eight, BAIT, BDSG, BDSG 2017,

REGULATORY SOLUTIONS Major Regulations GDPR: Alyne SaaS Financial Crime: A Guide for Firms, UK Privacy

COMPANY OVERVIEW Alyne makes managing risk and complying with laws and regulation as easy as browsing social media through a next generation software as a service. Alyne enables highly scalable risk and compliance processes through a library of structured controls and risk information linked to relevant regulation, laws and standards. By applying user interactions known from social media to enterprise risk and compliance processes, we foster a risk culture across the entire organisation. Leveraging Alyne’s content libraries enables organisations to launch large scale assessment campaigns across the organisation. Our risk analytics capabilities enable the quantification of operational risk and the structured mitigation across teams to reduce risk exposure to the defined appetite. Identified risks can immediately be displayed in context of laws and regulation. Additionally, we are currently developing natural language processing capability to leverage machine learning to evaluate current compliance and risk exposure.

DATE FOUNDED 2015

OWNERSHIP STRUCTURE Private/VC-Funded

COMPANY HEADQUARTERS Hiltenspergerstr. 35 Munich 80798 Germany


COMPETITORS MetricStream

SALES CONTACT Stefan Sulistyo

T 49 90160585

E [email protected]

CEO Karl Viertel

ABOUT THE CEO Karl is the CEO and founder of Alyne. He is involved both in running Alyne’s sales activities as well as curating Alyne’s Control Statement and Risk Libraries. Before founding Alyne, Karl delivered security, risk management and governance solutions to leading organisations in Europe, America and Asia Pacific in his role as Director for Deloitte & Touche in Munich, Germany and Melbourne, Australia. He started his career delivering complex IT programs to European banks at Accenture.

FUTURE PLANS Alyne is constantly developing Alyne SaaS. Additionally, we are currently developing natural language processing capability to leverage machine learning to evaluate current compliance and risk exposure.

Alyne



BSI Grundschutz, COBIT 4.1, COBIT 5, COSO, EU Directive 95/46/EC, Fed Guidelines IS, FIN-FSA OpRisk, Finnish Personal Data Act, GOBS, HGB, ISO 22301:2012, ISO 31000:2009, ISO/IEC 27001:2005, ISO/IEC 27001:2013, MaRisk BA (10/2012), MaRisk BA (09/2017), MAS TRMG, NIST Cyber Security 2014, NIST Cyber Security 2018, OWASP TOP 10 2013, PCI DSS v3.1, PCI DSS v3.2, PSD2 Security Measures for Operational and Security Risk, SGB, TKG, UK Cyber Essentials, UK FCA

BUSINESS FUNCTION SOLUTIONS Best Execution: Alyne SaaS Data Governance: Alyne SaaS Data Privacy & Digital Identity: Alyne SaaS Operational Risk Management: Alyne SaaS Regulatory Reporting: Alyne SaaS Risk/Risk Calculation: Alyne SaaS

REGIONS SELLING IN 3 Europe 3 Asia/Pacific

TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Regulator 3 Retail

FIRM SIZES TARGETTED 3 Tier 1 3 Tier 2 3 Tier 3

TARGET JOB TITLES Sales Director, Customer Success Manager, Operations, Web-Development, Sales Support, Marketing

Alyne (cont)



Other Regulations: FATCA, US Person Policy, basic Bearer Share policy, UK RnD, VAT, CDB 16, FINCEN Final Rule

BUSINESS FUNCTION SOLUTIONS Client Onboarding: Onboarding for Retail, Onboarding for Wealth

REGULATORY SOLUTIONS Major Regulations MiFID II: yes GDPR: yes Dodd-Frank: yes EMIR: yes KYC/AML: yes

COMPANY OVERVIEW Appway builds software for today and innovates for the technology of the future. With over 15 years of industry experience, Appway guides the leading financial institutions, both big and small, as they build sustainable and scalable solutions that quickly adapt to changing conditions. Headquartered in Switzerland with offices around the globe, Appway’s award-winning software suite serves over 420,000 users worldwide. More than 225 institutions rely on Appway to improve internal efficiencies, engage customers across all channels, and keep ahead of regulations.

DATE FOUNDED 2003


COMPANY HEADQUARTERS Lessingstrasse 5 Zurich 8002 Switzerland


NUMBER OF LIVE CLIENTS 225

REFERENCE CLIENTS Credit Suisse, Investec, LPL Financial, LGT, HSBC, J.P. Morgan, Manulife

COMPETITORS Fenergo, IMTF, Pega, Appian

SALES CONTACT Jorge Vidal

E [email protected]

CEO Hans Peter Wolf

ABOUT THE CEO Hans Peter Wolf founded Appway in 2003 with the vision to establish software at the core of business. Since Appway started as a micro-multinational, it has enabled companies to enter a new era of digital connectedness, customer service, and support. Wolf has been the driving force behind the company’s stellar growth, believing the convergence of business and technology should be cohesive and ongoing. This approach is the cornerstone to his conviction that businesses are only as valuable as their latest release.

FUTURE PLANS Appway will extend its co-creation solution delivery approach with partners such as: Deloitte, Protiviti, Synpulse, R3, SIX, among others. These new offerings and services will largely leverage the capabilities of the Appway Platform and Appway’s expertise in building process driven solutions that follow a compliance by design approach.

Appway



Data Privacy & Digital Identity: GDPR addressed in: Regulatory Reviews for Wealth, Onboarding for Retail, Onboarding for Wealth Financial Crime: Regulatory Reviews for Wealth KYC/AML: Regulatory Reviews for Wealth, Onboarding for Retail, Onboarding for Wealth Records Retention & Document Management: Appway Platform, Appway Digital Banking Platform Regulatory Reporting: Regulatory Reviews for Wealth Risk/Risk Calculation: Regulatory Reviews for Wealth

REGIONS SELLING IN 3 Europe 3 North America 3 Middle East & Africa

TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Retail


TARGET JOB TITLES Business/ Management, Information technology, Compliance, Back office/Operations, Front office/RM/Branch employee, Risk officer

Appway (cont)



Additional Regulations AIFMD: Global Regulatory Reporting Hub - Annex IV Solvency II: Global Regulatory Reporting Hub - TPT reporting

REGULATORY SOLUTIONS Major Regulations MiFID II: AQMetrics ARM

COMPANY OVERVIEW AQMetrics enables simple, reliable and cost effective risk management and regulatory compliance through the use of technology. Our cloud platform uses smart technology to integrate risk and regulatory solutions, allowing our clients stay compliant with existing and emerging regulations. We are focused on delivering trusted solutions to leading asset managers, investment managers, fund administrators globally.

DATE FOUNDED 2012

OWNERSHIP STRUCTURE VC funded

COMPANY HEADQUARTERS H5 Maynooth Business Campus Kildare Ireland

TOTAL FUNDING RAISED $3.2 million



REFERENCE CLIENTS Gandon, Intertrust

COMPETITORS We have no competitors that do both Risk and Regulatory reporting in a single cloud-based platform.

SALES CONTACT Lorraine Lyons, Business Development

T 353 1 903 5437

E [email protected]

CEO Geraldine Gibson

ABOUT THE CEO Geraldine Gibson, AQMetrics CEO, has a 20-year career in the financial services software market. Prior to AQMetrics, her most recent role was as Head of Professional Services at BAE Systems. Previous to BAE, Geraldine served on the Management Team of the risk and compliance software company Norkom, which BAE acquired in 2011. Before Norkom, Geraldine was a software developer at Susquehanna and ORACLE. Geraldine graduated from the Sorbonne University Paris and Trinity College Dublin with a Degree in History.Geraldine is also a graduate of Computer Science from the National University Of Ireland, Maynooth and holds a MBA from University College Dublin. Geraldine is a champion of equality, diversity and inclusion and believes that the most diverse teams produce the best products. In Geraldine’s view equality, diversity and inclusion lies at the heart of building Smart Economies and for this reason she also serves as a Board Member of FIT.ie

AQMetrics



BUSINESS FUNCTION SOLUTIONS Operational Risk Management: AQMetrics Supervisory Control Portal Records Retention & Document Management: AQMetrics Supervisory Control Portal Regulatory Reporting: Global Regulatory Reporting Hub Risk/Risk Calculation: Risk as a Service Trade/Transaction Reporting: AQMetrics ARM


TYPES OF FIRMS TARGETING 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management

FIRM SIZES TARGETTED 3 Tier 1

TARGET JOB TITLES COO, CFO, CRO

AQMetrics (cont)



Client Onboarding: KYC Portal Conduct Risk: KYC Portal Data Governance: GDPR Auto Data Privacy & Digital Identity: GDPR Auto Financial Crime: KYC Portal KYC/AML: KYC Portal Market Risk: KYC Portal Operational Risk Management: KYC Portal Pre-Trade Risk: KYC Portal

REGULATORY SOLUTIONS Major Regulations GDPR: GDPR Auto KYC/AML: KYC Portal

Additional Regulations Benchmarks Regulation: KYC Portal

BUSINESS FUNCTION SOLUTIONS Best Execution: KYC Portal

COMPANY OVERVIEW Aqubix delivers software solutions that focus on automating the operational challenge of regulatory processes. KYC Portal is the most complete end-to-end due diligence tool on the market helping clients in streamlining the entire business process of due diligence, KYC, on-boarding, on-going, AML and operations.

DATE FOUNDED 2008

OWNERSHIP STRUCTURE PLC

COMPANY HEADQUARTERS School Street Naxxar NXR2560 Malta

TOTAL FUNDING RAISED Not applicable - self funded.



REFERENCE CLIENTS Bank of Valletta, ARQ Group, Fenlex Corporate Services

COMPETITORS Not many. So far KYC Portal is the only product on the market that on its own tackles the entire process end to end. There are many products which offer small parts of what we do however none to the full extent of the process as we do.

SALES CONTACT Nickii Mallia

T 356 20102060

E [email protected]

CEO Kristoff Zammit Ciantar

ABOUT THE CEO Business Analyst by profession, having years of experience in helping customers automate and streamline the entire operational challenge within processes.

FUTURE PLANS KYC Portal is a product that we keep evolving and adding new modules based on client requirements.

Aqubix



Records Retention & Document Management: Cabinet EDMS Regulatory Reporting: KYC Portal Risk/Risk Calculation: KYC Portal Trade/Transaction Reporting: KYC Portal


TYPES OF FIRMS TARGETING 3 Investment Bank 3 Investment Management 3 Retail 3 Any financial service firms including banks, insurance, gaming, legal and payment services


TARGET JOB TITLES Operations Management, MLRO, compliance, key officials

Aqubix (cont)



FIRM SIZES TARGETED 3 Tier 1 3 Tier 2 3 Tier 3 3 Small independents

TARGET JOB TITLES CEO, COO, CRO, Head of Compliance, Head of Regulation, Head of Trading, Head of IT

REGIONS SELLING IN 3 Europe 3 Middle East & Africa 3 Asia/Pacific

TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Investment Bank

COMPANY OVERVIEW Aquis Exchange is an exchange services group, which operates a pan-European cash equities trading exchange (Aquis Exchange) and develops and licenses exchange software to third parties (Aquis Technologies). Aquis Exchange is authorised and regulated by the UK Financial Conduct Authority to operate a Multilateral Trading Facility. The Aquis MTF uses a subscription pricing model, which works by charging users according to the message traffic they generate, rather than a percentage of the value of each stock that they trade. Aquis operates a lit order book and does not allow aggressive non-client proprietary trading, thus toxicity and signalling risk is lower on Aquis than other trading venues in Europe. According to independent studies, trades on Aquis are less likely to lead to price movement than on other lit markets. Aquis Technologies is the software and technology division of Aquis Exchange. It creates and licenses cost-effective matching engine and market surveillance technology for banks, brokers, investment firms and exchanges. For more information, please go to www.aquis.eu and www.aquis.technology

DATE FOUNDED 2013


COMPANY HEADQUARTERS 77 Cornhill London EC3V 3QQ United Kingdom


SALES CONTACT Magnus Almqvist

E [email protected]

CEO Alasdair Haynes

ABOUT THE CEO Alasdair is the founder and CEO of Aquis Exchange. He is the former CEO of Chi-X Europe and was responsible for growing the business into Europe’s largest equities trading platform and into profitability before its sale in late 2011. Prior to that, Alasdair spent 11 years heading up ITG’s international business, pioneering the introduction of electronic trading and crossing into the European and Asian marketplaces. Alasdair began his 30 plus-year career in the City with Morgan Grenfell and has held senior positions at a number of investment banks, including HSBC and UBS.

Aquis Exchange



Arista Networks

REGULATORY SOLUTIONS Major Regulations MiFID II: Arista MetaWatch and DANZ TapAgg Other Regulations: Arista MetaWatch and DANZ TapAgg

BUSINESS FUNCTION SOLUTIONS Infrastructure Monitoring: Arista 7130 + MetaWatch, Arista 7280 + DANZ TapAgg Pre-Trade Risk: Arista 7130E and L Series

COMPANY OVERVIEW Arista Networks was founded to pioneer and deliver software-driven cloud networking solutions. Arista’s MetaWatch network application is designed to simplify network data capture, monitoring and analytics and ensures regulatory compliance needs are met. It combines several components of a traditional network monitoring solution into one powerful device: tapping, tap aggregation, time synchronisation, sub-nanosecond timestamping and deep buffering; coupled with comprehensive statistics, telemetry and time-series data. Arista offers a portfolio of switching, routing and WiFi products enabling the implementation of high-performance, scalable solutions for data centre and campus environments. Its award-winning platforms, ranging in Ethernet speeds from 10 to 400 gigabits per second, redefine scalability, agility and resilience. Arista’s new low-latency networking products as well as its monitoring and time stamping engine further broaden the solutions portfolio

DATE FOUNDED 2004

OWNERSHIP STRUCTURE Public

COMPANY HEADQUARTERS 5453 Great America Parkway Santa Clara, CA 95054

NUMBER OF EMPLOYEES 3000+

NUMBER OF LIVE CLIENTS 5000+

REFERENCE CLIENTS Deutsche Boerse

COMPETITORS Cisco, Juniper

SALES CONTACT [email protected]

E [email protected]

CEO Jayshree Ullal

ABOUT THE CEO As President and CEO of Arista for a decade, Jayshree led the company to a historic and successful IPO in June 2014 from zero to a multibillion dollar business. Formerly Jayshree was Senior VP at Cisco. With more than 30 years of networking experience, she is the recipient of numerous awards including E&Y’s “Entrepreneur of the Year” in 2015 and Barron’s “World’s Best CEOs” in 2018. Jayshree holds a B.S. in Engineering (Electrical) and an M.S. degree in engineering management.

FUTURE PLANS New features & functionalities are being released on a regular basis. We are working constantly on improving existing network devices and applications.




TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Network teams, Infrastructure teams, IT teams etc.

Arista Networks (cont)



Arkivum

REGULATORY SOLUTIONS Major Regulations MiFID II: Arkivum Shield GDPR: Arkivum Shield FRTB: Arkivum Shield Dodd-Frank: Arkivum Shield SFTR: Arkivum Shield MAR: Arkivum Shield EMIR: Arkivum Shield KYC/AML: Arkivum Shield

Additional Regulations AIFMD: Arkivum Shield Basel III: Arkivum Shield BCBS 239: Arkivum Shield

CFTC Regulation Automated Trading (Regulation AT): Arkivum Shield CFTC Rules 1.73 and 1.74: Arkivum Shield Corep: Arkivum Shield Dodd-Frank Volcker Rule: Arkivum Shield Financial Market Infrastructure Act: Arkivum Shield Finrep: Arkivum Shield Regulation ATS: Arkivum Shield Other Regulations: CAT, OATS

BUSINESS FUNCTION SOLUTIONS Data Lineage: Arkivum Shield Data Governance: Arkivum Shield Data Privacy & Digital Identity: Arkivum Shield

COMPANY OVERVIEW Arkivum is the trusted software and service partner for long-term data lifecycle management and digital preservation. We serve organisations around the world in data-intensive, regulated markets, including pharmaceutical, life sciences and healthcare, financial services, higher education and heritage. Arkivum provides an end-to-end, managed service to deal with the complexity of preserving your data securely for the long-term, while guaranteeing 100% data integrity and immediate access to your data so that you can bring your archived data to life. Our vendor neutral technology means you can use Arkivum across your existing platforms and various deployment models, and you own your data at all times as there is no data lock-in.

DATE FOUNDED 2011


COMPANY HEADQUARTERS Top Floor, The Walbrook Building, 25 Walbrook London EC4N 8AF United Kingdom


COMPETITORS Bloomberg Vault and Actiance/Smarsh.

CEO Guy Yaniv

ABOUT THE CEO Guy is an experienced Senior Executive with a global track record of driving business to the next level and generating sustainable growth. Prior to joining Arkivum, Guy served as General Manager, Customer Experience Analytics at NICE Systems and was a Senior Manager at Comverse Technology. Guy holds a BSC in Aeronautical and Astronautical Engineering and an MBA from University of Manchester, Israeli campus.

FUTURE PLANS Integration with analytical tools, KYC and AML technology vendor products/partners.



Records Retention & Document Management: Arkivum Shield

REGIONS SELLING IN 3 Europe 3 North America 3 Asia/Pacific



TARGET JOB TITLES CIO, Head of Compliance, Compliance Manager, Head of IT, Head of Infrastructure, IT Manager.

Arkivum (cont)



3 Legal, Telecommunications, Service Providers, Customer Facing Enterprises


TARGET JOB TITLES IT, Compliance Officers, Customer Service Managers


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Regulator 3 Retail

COMPANY OVERVIEW AudioCodes is a global company with an enduring commitment to the foundation of all human communications - voice. AudioCodes designs, manufactures and sells advanced Voice over IP and converged VoIP and data networking products, applications and professional services to global enterprises, medium and small business, as well as to service providers globally. AudioCodes SmartTAP for Microsoft Skype for Business is an intelligent, fully certified and secured enterprise interactions recording solution of voice, video and IMs. With SmartTAP, enterprises can capture and index any customer or organizational interaction across external and internal communication channels seamlessly.

DATE FOUNDED 1993

OWNERSHIP STRUCTURE Public (NASDAQ: AUDC)

COMPANY HEADQUARTERS Hayarden 1 Airport City, Lod 7019900 Israel


CEO Shabtai Adlersberg

ABOUT THE CEO Shabtai Adlersberg co-founded AudioCodes in 1993, and has served as the Company’s President, Chief Executive Officer and a director since inception. Until December 2012, he also served as the Chairman of our Board of Directors. Mr. Adlersberg co-founded the DSP Group, a semiconductor company, in 1987. From 1987 to 1990, he served as the Vice President of Engineering of the DSP Group, and from 1990 to 1992, he served as Vice President of Advanced Technology. As Vice President of Engineering, he established a research and development team for digital cellular communication which was later spun-off in 1992 as DSP Communications.

AudioCodes



COMPANY OVERVIEW To succeed today, financial institutions must respond to challenges that are not addressed by traditional approaches. They require world-class solutions that integrate people, processes, information and technology for the front office, middle office and operations. Bloomberg partners with these institutions to protect and capitalize on data, manage risk, deliver transparency and control costs. Through enterprise-level expertise and three decades of deep industry experience, Bloomberg creates real value through the use of innovative technology that turns data into a strategic asset.

Bloomberg has developed a comprehensive range of integrated systematic solutions to assist clients in meeting their regulatory requirements. These include a range of regulatory reporting and data solutions. Within these services are reference data solutions providing key identifiers for entities and financial instruments. Amongst these identifiers is the Legal Entity Identifier (LEI). The requirement for an LEI continues to increase as regulators endorse its use to bring transparency and efficiency to the capital markets. Bloomberg, as an accredited Local Operating Unit (LOU), is proud to be a part of this global effort to adopt LEIs by offering services to issue new LEIs and maintain, renew, or even transfer existing LEIs.

Additionally, Bloomberg is the Registration Authority and Certified Provider for the Object Management Group’s FIGI standard. FIGI, or the Financial Instrument Global Identifier, is the only open source financial instrument identifier offering an enterprise level solution to the reporting and data challenges. FIGI enables firms to organize their financial instrument data across asset class, using an identifier that is unique and persistent. With FIGI, firms can establish better data governance and quality, leaving them well placed to successfully comply with the transparency obligations arising under various regulations.

With a rich history in bringing transparency to markets—and a complete suite of resources that spans news, analysis, execution, clearing and reporting—Bloomberg is uniquely positioned to deliver the regulatory solutions our clients need today. We offer regulatory data products for both the buy- and sell-side, to help firms manage local, regional and global regulatory requirements. With our comprehensive suite of regulatory solutions, including essential reference data and identifiers, Bloomberg is a reliable partner that can provide everything your firm needs to manage a rapidly changing landscape.

DATE FOUNDED 1981


COMPANY HEADQUARTERS 731 Lexington Avenue New York 10022 USA


NUMBER OF LIVE CLIENTS Bloomberg has thousands of clients globally across our data services.

COMPETITORS Data vendors, such as Thomson Reuters, Refinitiv, FactSet, ICE Data Services, SIX, IHS Markit and others.

Bloomberg



CEO Michael Bloomberg

ABOUT THE CEO Michael Bloomberg is an entrepreneur, philanthropist and founder of Bloomberg who served three terms as Mayor of the City of New York. Bloomberg’s started his career at Salomon Brothers and moved quickly up the ranks, overseeing equity trading and sales before heading up the firms’ information systems. When Salomon was acquired in 1981, he was let go from the firm. With a vision of an information technology company that would bring transparency and efficiency to the buying and selling of financial securities, he launched a small startup in a one room office. Today, Bloomberg LP is a global company that has more than 19,000 employees and more than 176 locations around the world.

During his tenure as mayor, from 2002 through 2013, Bloomberg brought his innovation-driven approach to city government. He turned around a broken public school system by raising standards and holding schools accountable for success. He spurred economic growth and record levels of job creation by revitalizing old industrial areas, spurring entrepreneurship, supporting small businesses, and strengthening key industries, including new media, film and television, bio-science, technology, and tourism. Mayor Bloomberg’s economic policies helped New York City experience record-levels of private-sector job growth often in formerly depressed neighborhoods, even in the wake of the deep national recession.

Upon leaving City Hall, Michael Bloomberg returned to the company he founded while also devoting more time to philanthropy, which has been a top priority for him throughout his career. Today, Bloomberg Philanthropies employs a unique data-driven approach to global change that grows out of his experiences as an entrepreneur and mayor. In addition to Bloomberg Philanthropies’ five areas of focus – public health, arts and culture, the environment, education, and government innovation – Bloomberg has continued to support projects of great importance to him, including his alma mater, Johns Hopkins University, where he served as the chairman of the board of trustees from 1996-2001. The university’s School of Hygiene and Public Health – the largest public health facility in the U.S. – is named the Bloomberg School of Public Health in recognition of his commitment and support.

Bloomberg has donated over $6 billion to a wide variety of causes and organizations. As chair of the C40 Climate Leadership Group from 2010 to 2013, Bloomberg drew international attention to cities’ leading role in the fight against climate change, and serves as the UN Secretary-General’s Special Envoy for Climate Action, with the charge to galvanize the efforts of local and regional governments, businesses, and civil society. In 2016, Bloomberg accepted World Health Organization Director-General Margaret Chan’s invitation to serve as the WHO global ambassador for noncommunicable diseases as part of the WHO’s push to achieve UN goals of reducing premature NCD deaths by one-third by 2030, and halving the number of road deaths and injuries by 2020. He is also co-author, with Carl Pope, of the 2017 New York Times bestselling book Climate of Hope: How Cities, Businesses, and Citizens Can Save the Planet.

FUTURE PLANS We continue to focus on providing precise reference data solutions to enable client’s operations and regulatory compliance globally. We are continuing to develop our open symbology offerings to provide comprehensive unambiguous identification of financial assets and entities through the deployment of Bloomberg LEI and the Financial Instrument Global Identifier (FIGI).

Bloomberg (cont)



Instrument Global Identifier (FIGI) Other Regulations: PRIIPs data solutions, Corporate structure data for AnaCredit rule, Financial Instrument Global Identifier (FIGI) for AnaCredit reporting, SSR data for Short Sell Regulation, 871m data for Tax regulation. Liquidity Assessment Solution (LQA) for SEC 22e4.

BUSINESS FUNCTION SOLUTIONS Best Execution: Bloomberg Transaction Cost Analysis (BTCA), AIM Client Onboarding: Entity Exchange, Bloomberg LEI Conduct Risk: Bloomberg Vault, limited also BTCA Data Lineage: Financial Instrument Global ldentifier (FIGI) Data Governance: AIM, Entity Exchange (audit trail, version control, transparency, workflow, permission access and controls), MARS, PolarLake Data Privacy & Digital Identity: KYC Distributed Ledger/Blockchain: Financial Crime: Entity Intelligence

INFRASTRUCTURE MONITORING KYC/AML: Entity Exchange and Entity Intelligence, Regulatory and Accounting Data products, Risk solutions, Bloomberg LEI Market Risk: AIM, MARS, Regulatory and Accounting Data products Operational Risk Management: AIM, Corporate Structure data, including the FIGI to enable accurate inventory and risk management Pre-Trade Risk: AIM, DRSK, ECL, MARS, MARS XVA, MARS Front Office Records Retention & Document Management: AIM, Vault record keeping and trade reconstruction, Collateral Management. Regulatory Reporting: AIM, MARS, Bloomberg ARM and APA for MiFID II Reporting. Research Aggregation: Research services available through the Bloomberg Terminal Risk/Capital Adequacy: AIM, Regulatory and Accounting Data products, MARS Risk/Risk Calculation: AIM, MARS

REGULATORY SOLUTIONS Major Regulations MiFID II: Comprehensive data solutions for MiFID compliance, Bloomberg LEI, APA and ARM reporting solutions (Pre-, Intra-, and Post-Trade solutions), Vault, BTCA, Personal Directory, trading solutions including Bloomberg MTF. GDPR: Entity Exchange. FRTB: FRTB solutions. Dodd-Frank: Data solutions to enable compliance: Bloomberg Vault, Entity Exchange, Covered Funds Identification SFTR: solutions to meet reference data challenges for SFTR Reporting: Entity Exchange, Security and Corporate structure data. MAR: Data solutions to enable compliance: Bloomberg Vault, AIM, BTCA, Corporate Structure data. EMIR: Data solutions to enable compliance: Bloomberg Vault, Entity Exchange, BTCA, AIM, Collateral Tagging. KYC/AML: Bloomberg LEI, Entity Exchange, Entity Intelligence, Corporate Structure data and comprehensive KYC solutions.

Additional Regulations AIFMD: AIM, Hedge Fund and Private Equity reference data, including the Financial Instrument Global Identifier (FIGI). Basel III: HQLA solution BCBS 239: Benchmarks Regulation: Benchmark reference data, Financial Instrument Global Identifier (FIGI) for benchmark identification. CFTC Regulation Automated Trading (Regulation AT): CFTC Rules 1.73 and 1.74: Pricing and reference data Corep: HQLA, SA CR, Security Master data Dodd-Frank Volcker Rule: Covered fund solution Financial Market Infrastructure Act: Finrep: IFRS 9 SPPI and ECL Regulation ATS: SEC Form PF: AIM Solvency II: Solvency II solution, Financial

Bloomberg (cont)



Trade Surveillance & Cyber Security: AIM, Trade Surveillance via Bloomberg Trade Cost Analysis, BVAULT record keeping and trade reconstruction. Trade/Transaction Reporting: AIM, Vault, RHUB, MARS, Bloomberg ARM and APA for MiFID II reporting. Trading Venues: RTS 27 for SIs. Bloomberg MTF Routing and Execution. Other: DaaS




TARGET JOB TITLES Analyst, Back Office, Business Manager, Capital Markets, Collateral Management, Executive Officer, Investment Banker, Market Data, Middle Office, Portfolio Manager, Project Manager, Regulatory Reporting, Risk Manager, Trader, Syndicator, Technology, Risk, Compliance, AML, KYC, Regulatory Change, Finance, Accountants, Tax, Change Management, etc.

Bloomberg (cont)



Dodd-Frank: Covered Funds bot

Additional Regulations Dodd-Frank Volcker Rule: Covered Funds bot

REGULATORY SOLUTIONS Major Regulations MiFID II: MiFID II bot GDPR: MiFID II bot

COMPANY OVERVIEW At RegBot we are a team of experienced regulatory lawyers, traders and technology experts working to develop disruptive technology to end business disruption. We develop modular, end-to-end client solutions that we call “bots”, and deliver automated compliance embedded in the normal workflow of a bank or financial entity (either sell-side or buy-side). Our bots may be installed on premises or in the cloud, are fully auditable and keep full timestamped records to evidence compliance. Our MiFID II bot works as a lawyer in a box that automates compliance tasks, generates notifications to all relevant stakeholders, including clients, keeping you fully compliant, optimising business timing and maximising business opportunities. And it’s GDPR compliant too!

DATE FOUNDED 2014


COMPANY HEADQUARTERS The Black Church, St. Mary’s Place Dublin 7 Ireland

TOTAL FUNDING RAISED N/A


NUMBER OF LIVE CLIENTS We currently have three pilots under way

COMPETITORS Droit

SALES CONTACT Sal Syed, CTO

T 44 7973954959

E [email protected]

CEO Adolfo Pando-Molina

ABOUT THE CEO Adolfo is a legal and regulatory specialist, digital process designer, digital transformation strategist, and compliance strategist. He served for over eleven years as in-house legal counsel at major Investment Banks in London and Europe, and was Head of Legal Americas for the Corporate and Investment Banking division of a major European bank. There, he led legal advice and regulatory implementation efforts and processes. Along the way, the idea of RegBot was born as a groundbreaking, modular technology built to deliver total and consistent compliance by taking care of regulatory obligations on behalf of ordinary traders and other business users through a seamless, automated process embedded in their normal workflow.

FUTURE PLANS We are currently designing a bot that will cover business conduct regulation on a cross-border basis

BLX (trading as RegBot)



BUSINESS FUNCTION SOLUTIONS Conduct Risk: MiFID II bot Data Governance: MiFID II bot Operational Risk Management: MiFID II bot Other: Client-facing business conduct rules under MiFID II: MiFID II bot


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Front office, Compliance, Internal Control, Internal Auditing

BLX (trading as RegBot) (cont)



COMPANY OVERVIEW BMLL is a cloud-based data science platform for research and development, offering access to level 3 full order book data (cash equities, futures and options), unlimited compute power in AWS and a wide range of data science and machine learning toolboxes, all on a pay as you go rental basis. The combination of hardware, software and analytics allows clients to extract value out of big data sets previously unavailable to the wider financial market. One key area of application is in trade surveillance and compliance, TCA, best execution and market impact analysis.

DATE FOUNDED 2014

OWNERSHIP STRUCTURE Private, VC-funded

COMPANY HEADQUARTERS Portland House London SW1E 5RS United Kingdom

TOTAL FUNDING RAISED £12 million



COMPETITORS Difficult to say due to the breadth of application of our platform. In the regulatory area, possibly Smarts and Actimize.

SALES CONTACT Ben Collins

E [email protected]

CEO John Macpherson

ABOUT THE CEO John joined BMLL after working for a number of the World’s leading Investment Banks (Goldman Sachs, JP Morgan and Nomura) for over 20 Years. At Goldman Sachs John ran the European Fixed Income and Commodity Listed Derivatives Sales and Execution team in the Securities Division for over 9 Years, during which time he was promoted to the rank of Managing Director. John then became Global Head of Listed Derivatives across all asset classes at Nomura building its customer base, reach, technology capabilities and architecture. In the roles he has held, John, has had very in-depth insight not only into the Global Derivative Exchanges but also the technology required to support customer requirements and service levels needed to grow and maintain a strong P&L. Having managed teams in the front office as well as the electronic platform space from the open outcry era to today’s heavily technology dependent trading environment, John has an exceptional understanding of the exchange traded securities space and the realization that in order to succeed in trading the highest quality data, technology and analytics are required by BMLL’s customers.

FUTURE PLANS Building solutions through data, hardware and analytics which our clients are looking to solve. These range from alpha generation to regulatory, compliance and surveillance solutions.

BMLL Technologies



REGULATORY SOLUTIONS Major Regulations MiFID II: Post Trade Analysis, Best Execution, TCA

BUSINESS FUNCTION SOLUTIONS Best Execution: Best Execution Trade Surveillance & Cyber Security: Compliance & Surveillance Toolkit


TYPES OF FIRMS TARGETING 3 Brokerage 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management 3 Regulator


TARGET JOB TITLES Head of Trading, Compliance, CDO, Head of Quantitative Analysis, Head of Research, COO

BMLL Technologies (cont)



BankFocus Risk/Risk Calculation: Moody’s Analytics BankFocus



REGULATORY SOLUTIONS Major Regulations KYC/AML: Orbis & Compliance Catalyst/ Compliance Catalyst for Banks

Additional Regulations Basel III: Moody’s Analytics BankFocus Other Regulations: Moody’s Analytics BankFocus and our Catalyst and FACT solutions will streamline reporting for many regulations

BUSINESS FUNCTION SOLUTIONS Client Onboarding: Orbis & Compliance Catalyst Conduct Risk: Orbis & Compliance Catalyst Data Lineage: Orbis Data Governance: Orbis Financial Crime: Orbis & Compliance Catalyst KYC/AML: Orbis & Compliance Catalyst Market Risk: Moody’s Analytics BankFocus Operational Risk Management: Moody’s Analytics BankFocus Regulatory Reporting: Orbis & Moody’s Analytics BankFocus Risk/Capital Adequacy: Moody’s Analytics

COMPANY OVERVIEW We capture and treat private company information for better decision making and increased efficiency. Our central product, Orbis, has information on around 300 million companies across the globe. We can help organizations in a range of compliance functions as we have vast corporate ownership data, helping firms comply with regulations when it comes to AML, sanctions and KYC/due diligence checks.

DATE FOUNDED 1991


COMPANY HEADQUARTERS Avenue de Frontenex 8 Genève 1207 Switzerland


COMPETITORS Thomson Reuters, Bloomberg Dun & Bradstreet

CEO Dan Russell

FUTURE PLANS Our core products are constantly developed, with releases quarterly





TARGET JOB TITLES Head of Compliance, Head of RegTech, Head of Customer Due Diligence, Head of Client Operations, Head of KYC, Head of AML, Head of Financial Crime, MLRO, Risk Manager

Bureau van Dijk (cont)



COMPANY OVERVIEW Cappitech is a leading provider of regulation technology for the financial services industry. Through CapptivateTM, Cappitech’s regulatory service platform, customers can easily automate submission and analyse their daily trades to comply with international financial transaction reporting obligations. This cross-regulation platform uses state-of-the-art technology to provide a unified experience for all regulatory reporting along with an industry leading analytics dashboard to process and audit review compliance reports. Trusted by leading financial institutions, Cappitech provides superior service and personalised guidance using its vast operational regulatory expertise. Led by a team of experienced FinTech professionals with a proven track record, Cappitech has been named a RegTech 100 company – one of the world’s most innovative RegTech companies – by FinTech Global, a data and research firm. For more information, please visit www.cappitech.com.

DATE FOUNDED 2013

OWNERSHIP STRUCTURE Private, VC Funded

COMPANY HEADQUARTERS 2 HaMenofim Herzliya 4672553 Israel

TOTAL FUNDING RAISED $4 million



COMPETITORS Unavista, NEX Abide

SALES CONTACT Ido Pickel

T 972 -9 -9702723

E [email protected]

CEO Ronen Kertis

ABOUT THE CEO Ronen Kertis is the Founder and CEO of Cappitech and has successfully been leading Cappitech since it was established in January 2013 on the foundation of ITG Israel’s legacy. He is a financial services technology thought leader who has been managing software development projects for over 20 years, across several regions and in different markets. His deep domain expertise has been instrumental in positioning Cappitech as a global market leader in regulatory reporting and compliance intelligence. Prior to Cappitech, he worked at ITG for 13 years, last 7 as CEO of ITG Israel and prior to that, 4 years as the CTO of the company’s EU branch in London. He is also a partner in the Angel investing fund AfterDox. Ronen graduated from Tel Aviv University in Electronic Eng. and MBA, with honors.

FUTURE PLANS Support SFTR and create trade analytics

Cappitech Regulation



REGULATORY SOLUTIONS Major Regulations MiFID II: Transaction Reporting, RTS 27/28, Best Execution Monitoring SFTR: Transaction Reporting EMIR: Transaction Reporting Other Regulations: ASIC, Canadian Transaction Reporting

BUSINESS FUNCTION SOLUTIONS Best Execution: Best Execution Analysis and Transaction Monitoring Records Retention & Document Management: Regulatory File Management Regulatory Reporting: Cross Regulation Transaction Reporting Trade/Transaction Reporting: End to end reporting


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Retail 3 Corporates


TARGET JOB TITLES Compliance Manager, Head of Compliance, IT, COO, CRO, Head of regulation

Cappitech Regulation (cont)



TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management 3 Regulator 3 Commodity Industrials


TARGET JOB TITLES Head of Compliance, head of anti-fraud, head of Risk, head of transaction control

REGULATORY SOLUTIONS Major Regulations MAR: Cardabel

BUSINESS FUNCTION SOLUTIONS Best Execution: Cardabel Financial Crime: Cardabel Operational Risk Management: Cardabel Pre-Trade Risk: Cardabel Trade Surveillance & Cyber Security: Cardabel Trade/Transaction Reporting: Cardabel


COMPANY OVERVIEW Cardabel detects anomalies in financial transactions using unsupervised machine learning. Cardabel is used for Fraud and Market Abuses detection.

DATE FOUNDED 2015

OWNERSHIP STRUCTURE Private: funded by founders

COMPANY HEADQUARTERS 23 RUE PASTEUR L ETANG LA VILLE 78620 France


COMPETITORS NICE Actimize, Nasdaq SMART, Detica

SALES CONTACT Lionel Simon

E [email protected]

CEO Lionel Simon

ABOUT THE CEO Lionel is an engineer by background with a track record in business development with top tier banks . He has previously developed several enterprise software firms in the area of risk management selling high value added application to the largest global banks in NY, London, Asia and continental Europe.

FUTURE PLANS Add supervised learning to provide learning on users’ experience with true/false positive.

Cardabel




TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank

REGULATORY SOLUTIONS Major Regulations MiFID II: TRACE Reporting Dodd-Frank: TRACE Reporting SFTR: TRACE Reporting EMIR: TRACE Reporting

COMPANY OVERVIEW Catena Technologies is a RegTech company that specializes in regulatory derivatives trade reporting. Its award-winning TRACE Reporting platform helps customers manage trade reporting requirements across multiple asset classses and regulatory jurisdictions, including MiFID II, EMIR, CFTC, HKMA, ASIC, and MAS.

DATE FOUNDED 2002

OWNERSHIP STRUCTURE Privately held

COMPANY HEADQUARTERS 3 Phillip Street #10-01 Royal Group Building Singapore 48693 Singapore




REFERENCE CLIENTS DZ Bank, BT Investement Management, ICBC, AustralianSuper, Bank of Queensland, China Construction Bank, PM Capital, RHB Bank

COMPETITORS Broadridge/MessageAutomation RegTek AxiomSL

SALES CONTACT Randall Duran, Head of Strategic Business Development

T 1-415-316-6942

E [email protected]

CEO Aaron Hallmark

ABOUT THE CEO Aaron Hallmark, Catena’s CEO, previously worked for Calypso Technology for nine years where he was the Director of Professional Services for North America and Asia. He has a B.S. from Stanford and an MBA from USC.

FUTURE PLANS We will be supporting SFTR when it comes into effect.

Catena Technologies



3 Investment Management 3 Regulator


TARGET JOB TITLES Derivatives regulatory reporting - operations, compliance

Catena Technologies (cont)



BUSINESS FUNCTION SOLUTIONS Best Execution: consultancy Data Governance: consultancy Data Privacy & Digital Identity: consultancy Infrastructure Monitoring: consultancy Operational Risk Management: consultancy Records Retention & Document Management: consultancy Regulatory Reporting: consultancy Trade Surveillance & Cyber Security: consultancy

REGULATORY SOLUTIONS Major Regulations MiFID II: consultancy GDPR: consultancy FRTB: consultancy Dodd-Frank: consultancy SFTR: consultancy EMIR: consultancy

Additional Regulations BCBS 239: consultancy

COMPANY OVERVIEW Citihub Consulting is a global, independent IT advisory firm with deep domain expertise across every layer of the technology stack - from business applications and data platforms down to core infrastructure. Our consultants have decades of experience helping clients promote best practices in every IT discipline. From IT strategy, architecture and solution development, through to cost optimisation, risk assessment and implementation - our trusted experts deliver the right results for your business. Our long regulatory heritage spans both technology and business sponsored engagements covering Dodd-Frank; GDPR and the execution and delivery of multiple MiFID II workstreams. These covered everything from trade and transaction reporting; clock synchronisation; algorithmic trading; cost & charges and research unbundling. We have a relentless commitment to quality execution, integrity and client success. Our commitment to delivering the right results for our clients has never changed, even as the business has continued to grow over two decades.

DATE FOUNDED 1998

OWNERSHIP STRUCTURE Limited Company

COMPANY HEADQUARTERS Moor Place, 1 Fore Street London EC2Y 9DT United Kingdom



COMPETITORS TORI Global, GreySpark, Accenture, KPMG, EY, Deloitte

SALES CONTACT Darrell Cameron-Webb

E [email protected]

CEO Chris Allison

FUTURE PLANS Continued growth servicing our clients’ growing needs in the RegTech and eTrading spaces, utilising our knowledge of front to back trading technologies, businesses and effective target operational models.

Citihub Consulting



Trade/Transaction Reporting: consultancy Trading Venues: consultancy

REGIONS SELLING IN: 3 Europe 3 North America 3 Middle East & Africa 3 Asia/Pacific

TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Regulator

FIRM SIZES TARGETED 3 Tier 1 3 Tier 2

TARGET JOB TITLES CIO, CEO, CTO, DPO, Director of Regulatory Affairs

Citihub Consulting (cont)



COMPANY OVERVIEW ClauseMatch is an award-winning FinTech and RegTech start-up with a unique SaaS-based offering for Financial Institutions. It is a 2014 graduate of the inaugural Barclays accelerator programme and a BBVA Open Talent challenge winner. ClauseMatch enables financial institutions to automate regulatory change management processes through effective organisation of internal policies, standards, procedures and controls across its corporate structure (legal entities), geographies, products and services (licenses), and supervisory authorities. Institutions benefit from better enterprise governance and proactive regulatory risk mitigation through a 360 degree live view into its current state of compliance with regulatory obligations, further enabling streamlining impact assessment and implementation of existing and future regulations. Comprehensive audit trail delivers accountability, transparency and assurance into readiness for the next review of current governance documentation, internal controls and their links to the applicable regulations. The product is a next-gen platform that enables organisations to automate how they adapt their enterprise risk and controls framework in response to regulatory change. We achieve this by putting structure around regulatory change management and implementation projects and organizing policies, standards and procedures that address regulatory obligations in one central place. When implementing regulatory change, capturing all changes and approvals made to the corporate governance documentation to address new regulatory obligations is essential. On ClauseMatch every change, comment and approval is done in real time so organisations are able to establish and maintain a full audit trail. Management and the Board, therefore, have unprecedented control and transparency into organisational processes and risks, which significantly eases the audit and understanding of the state of compliance. We enable this by integrating regulatory feeds and banks’ internal data into our platform and provide the ability to interconnect this data with internal documentation that is managed via the platform.

DATE FOUNDED 2012


COMPANY HEADQUARTERS Level42, One Canada Square London E14 5AB United Kingdom


SALES CONTACT Carl-Henrik Thorsen

E [email protected]

CEO Evgeny Likhoded

ABOUT THE CEO Evgeny Likhoded is the Founder and CEO of ClauseMatch, which helps financial institutions to implement robust governance and legal documentation processes as part of the first and second line of defence. Having worked in the legal profession for several years in Morgan Stanley and Gazprom, Evgeny sought to improve the current ways of how legal and compliance departments manage high value and high-risk documentation. He then went on to found ClauseMatch in 2012.

ClauseMatch




TYPES OF FIRMS TARGETTNG 3 Investment Bank 3 Regulator


TARGET JOB TITLES Heads of Compliance, Heads of Risk, Innovation, Chief Control Officers, Policy Managers, Senior management and the Board

ClauseMatch (cont)



BUSINESS FUNCTION SOLUTIONS Data Lineage: MetaDex (we’re a leader, we partner with IBM, Collibra and Informatica here). Data Governance: MetaDex

REGIONS SELLING IN 3 Europe 3 North America 3 South America 3 Asia/Pacific

REGULATORY SOLUTIONS Major Regulations GDPR: MetaDex Dodd-Frank: MetaDex KYC/AML: MetaDex

Additional Regulations Basel III: MetaDex BCBS 239: MetaDex Solvency II: MetaDex

COMPANY OVERVIEW Compact Solutions have provided solutions for over 15 years in the data transformation and management fields. We have a global reach with headquarters in Chicago, IL USA and operations in four countries including US, United Kingdom, Poland and India. Our Solution MetaDex is the most granular data lineage solution available on the market. It accesses every transformation that has occurred to the data throughout the enterprise and offers automation for up to date data lineage for regulatory compliance (BCBS239, CCAR, DFAST, etc.).

DATE FOUNDED 2002

OWNERSHIP STRUCTURE Privately held.

COMPANY HEADQUARTERS One Lincoln Center 18 West 140th W Butterfield Road 15th Floor Oakbrook Terrace, IL 60181




REFERENCE CLIENTS USAA, Fidelity, CIBC, Santander

COMPETITORS Manta Tools

SALES CONTACT David Meeker

T 1-774-810-5055

E [email protected]

CEO Pankaj Argawal

ABOUT THE CEO Mr. Agrawal, a recognized authority in the field of high performance data management solutions, is Compact Solutions’ founder and Chief Executive Officer. He also supports the company as its Chief Technology Officer and is responsible for the growth and development of the Company’s European operations.

Compact Solutions



TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Other verticals outside of FS including healthcare, manuf.


TARGET JOB TITLES CDO, Head of Data Management, Data Architect.

Compact Solutions (cont)



COMPANY OVERVIEW Corvil transforms network data into streaming machine-time intelligence for electronic trading businesses to operate with full transparency, achieve superior execution outcome, and deliver trusted data for regulatory compliance and risk management. With Corvil you see every order, every tick, for every client, to every venue, across all hops, in machine-time for equities, options, derivatives, FX and fixed income in one integrated platform; everything nanosecond time-stamped, synchronized, normalized, stored and streamed on-demand. Corvil provides the intelligence needed to assure and optimize trading businesses. Corvil is trusted by leading financial institutions globally overseeing a daily transaction value in excess of $1 trillion.

DATE FOUNDED 2000

OWNERSHIP STRUCTURE Corvil is a private Ltd company with backing from multiple venture investment partners.

COMPANY HEADQUARTERS 6 Georges Dock IFSC Dublin 1 D01 K5C7 Ireland


NUMBER OF EMPLOYEES 172

NUMBER OF LIVE CLIENTS >150

REFERENCE CLIENTS Morgan Stanley, Pico, Thomson Reuters, Nasdaq, Flow Traders, FlexTrade, Allston Trading and others. See www.corvil.com/customers

COMPETITORS Bespoke internal solutions

SALES CONTACT Americas: Dan Kennedy, VP of Sales and GM Americas

T +1 646 454 2770

E [email protected]

Rest of World: Elaine Giblin, VP, International Sales

T +44 207 151 4160

E [email protected]

CEO Donal Byrne

ABOUT THE CEO Donal Byrne is the CEO of Corvil, and has over twenty five years’ experience working in the fields of high-performance computer systems, network communications, and real-time data analytics. Donal joined Corvil in 2000 as the non-executive Chairman and since 2002 he has served as CEO driving the company to a leading position in IT data analytics and real-time operational intelligence. Donal holds B.E. and M.Eng.Sc. degrees from University College, Dublin.

Corvil



Regulatory Reporting: Corvil Analytics Risk/Risk Calculation: Corvil Analytics/Intelligence Hub Trade Surveillance & Cyber Security: Corvil Analytics/Intelligence Hub Trade/Transaction Reporting: Corvil and NEX Regulatory Reporting Trading Venues: Corvil Analytics (Exchange Business) Other: Corvil Analytics (for the Broker Business); Corvil Analytics (for the Exchange Business); Corvil Analytics (for Market Data); Corvil Analytics (for Fixed Income) and Corvil Analytics (for the FX Business)


REGULATORY SOLUTIONS Major Regulations MiFID II: Corvil Analytics/Intelligence Hub FBTR: Corvil Analytics Other: Regulatory Transaction Reporting: Corvil’s precision transaction data capture and timestamping are seamlessly integrated with ARM providers to provide complete, end-to-end transaction reporting solutions for regulatory regimes such as MiFID, MiFIR, EMIR, Dodd Frank, ASIC, and MAS. NMS 603a

BUSINESS FUNCTION SOLUTIONS Best Execution: Corvil Analytics/Intelligence Hub Conduct Risk: Corvil Analytics/Intelligence Hub Infrastructure Monitoring: Corvil Analytics Operational Risk Management: Corvil Analytics/Intelligence Hub Records Retention & Document Management: Corvil Analytics

FUTURE PLANS In today’s competitive trading environment, firms require greater understanding of their execution and how clients are experiencing their service. Corvil is committed to empowering firms with the best insight and intelligence to optimize their trading business. Consequently, Corvil recently launched its AI-powered Intelligence Hub to help electronic trading firms achieve optimal execution quality and operations. The solution delivers powerful big data analytics insights without the traditional lengthy timelines and costs and has the potential to dramatically change how they see, manage, and improve quality of execution, client experience, and operations.

Electronic trading businesses require intelligence that correlates and understands changes in the critical dimensions of trading outcomes, financial performance, client/desk experience, and underlying technology performance and security. Intelligence Hub provides proactive alerting on changes in these dimensions and allows business and operations teams to flexibly visualize, explore and analyze this key information for more informed action.

Applying machine learning and big data analytics to Corvil’s unique capture of high fidelity business data from the network, Intelligence Hub accurately identifies anomalies, triages areas of greatest concern, and has capabilities to predict conditions for improved planning.

USE CASES• Self-Service Electronic Trading Business Intelligence• Client and Desk Intelligence and Activity Analysis • Quality of Execution Analysis• Intraday Risk Management and OTR Compliance • Counterparty and Venue Analysis• Client and Desk Trade Support

Corvil (cont)



TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Trading/Market Maker 3 Investment Bank 3 Exchange Service Provider


TARGET JOB TITLES Vice President, Head Of Operations, Director, Technology Specialist, Business Analyst, Manager, Senior Vice President, Senior Software Engineer, Senior Business Analyst, Head Of Trading, Head Of Information Technology, Market Data Analyst, Quantitative Analyst, Trading Analyst

Corvil (cont)



COMPANY OVERVIEW Founded in 2011 by RegTech pioneer Ben Richmond, CUBE was early to recognise how extensive and voluminous financial regulation would become. We understand the huge costs and risks associated with managing regulatory change compliantly, and we have purpose-built an automated end-to-end regulatory intelligence and change solution, underpinned by AI and Machine Learning. CUBE serves multi-jurisdictional Tier 1 and 2 financial institutions, including global banks, wealth managers and insurance companies. Two million staff in 160 countries currently consume regulatory intelligence, and manage regulatory change initiatives, powered by CUBE. With offices in London, New York and Melbourne, CUBE has 100+ staff globally, including specialist regulatory experts and 24/7 support.

Spreadsheets and people-heavy processes are prolific in financial services compliance. Few financial institutions have fully automated compliance processes that deliver deep insight into the impact of regulatory change, cross-border, as it happens – or the ability to remediate non-compliance, quickly and cost-effectively. CUBE’s enterprise-scale RegTech solution de-risks the regulatory change process for large financial institutions, across all lines-of-business and all jurisdictions, while dramatically cutting compliance costs. Its unique application of Artificial Intelligence to automate the regulatory change management process is CUBE’s secret sauce. Utilizing Machine Learning and Natural Language Processing, CUBE automatically and intelligently captures, maps, analyzes and helps remediate the impact of regulatory change.

The world’s single richest source of global financial services regulatory data, CUBE’s vast proprietary data lake of cross-border regulatory intelligence is constantly updated. In an automated filtering process, CUBE intelligently maps the global universe of rules and regulations onto your lines-of-business and operational jurisdictions, to identify those that are relevant to your specific taxonomy.

CUBE’s automated regulatory gap analysis maps these regulations across your enterprise systems (via an Open API), pinpointing all policies and procedures that are impacted, detecting changes required, and enabling rapid remediation. Horizon scanning is continuous; CUBE’s regulatory radar and enforcement tracking trigger instant alerts whenever a regulatory change or fine puts your compliance status at risk. Global oversight of your compliance status, and the compliant application of policies and procedures across jurisdictions, is monitored via customisable analytics and visual dashboards.

Finally, the CUBOT – your AI-driven personal compliance assistant – trawls CUBE’s regulatory data lake to answer any regulatory query, on demand, in seconds. When asked a question, CUBOT will return a highly-personalised selection of relevant responses. Over time, CUBOT’s cognitive technology interprets questions with increasing accuracy, and will return more relevant and context-specific results.

There is no RegTech solution available today that delivers deeper insight into the impact of global regulatory change on your business, at enterprise-scale, quickly and cost-effectively, like CUBE does..

DATE FOUNDED 2011


COMPANY HEADQUARTERS 130 Wood Street London EC2V 6DL United Kingdom

CUBE



(Regulation AT): CUBE CFTC Rules 1.73 and 1.74: CUBE Corep: CUBE Dodd-Frank Volcker Rule: CUBE Financial Market Infrastructure Act: CUBE Finrep: CUBE Regulation ATS: CUBE SEC Form PF: CUBE Solvency II: CUBE Other Regulations: CUBE uses AI to capture the world’s richest source of financial services regulatory intelligence, it is not a point solution for individual regulations, lines of business or jurisdictions

REGULATORY SOLUTIONS Major Regulations MiFID II: CUBE GDPR: CUBE FRTB: CUBE Dodd-Frank: CUBE SFTR: CUBE MAR: CUBE EMIR: CUBE KYC/AML: CUBE

Additional Regulations AIFMD: CUBE Basel III: CUBE BCBS 239: CUBE Benchmarks Regulation: CUBE CFTC Regulation Automated Trading


NUMBER OF LIVE CLIENTS Not disclosed. Currently, 2 million staff in 160 countries are consuming regulatory intelligence, and managing regulatory change initiatives, that are powered by CUBE.

REFERENCE CLIENTS Not disclosed - our clients are global tier 1 banks, investment, wealth management and insurance companies

COMPETITORS IBM

SALES CONTACT Lucy Heavens

T 44 (0)20 3903 5930

E [email protected]

CEO Ben Richmond

ABOUT THE CEO Ben Richmond is a customer-oriented, results-driven business leader, with great focus on progression and growth. Beginning his career with MISYS Group, Ben has worked in technology for 20+ years, helping organizations to leverage and manage content (unstructured data). Since 1998, he has founded and grown several successful technology and service businesses, as part of The Content Group. In 2011, based on a vision of the future of regulatory compliance, he founded CUBE to automate the process of managing regulatory change. As a RegTech subject matter expert and thought leader, Ben has been involved in setting global standards. He is also Chief Executive and Executive Board Member of the International RegTech Association (IRTA) – a global non-profit formed to ease and accelerate the evolution of the RegTech industry.

FUTURE PLANS Our roadmap and development plans are focused on evolving CUBE into the de facto platform for monitoring financial services regulatory intelligence and managing regulatory change across the enterprise - all lines of business, and all jurisdictions.

CUBE (cont)



BUSINESS FUNCTION SOLUTIONS Other: We are not a point solution for individual business areas, we automate the process of managing regulatory change across the enterprise, and we are not restricted to individual business areas.

REGIONS SELLING IN 3 Europe 3 North America 3 Asia/Pacific 3 Middle East/Africa

TYPES OF FIRMS TARGETING 3 Custodian/Funds Administrator 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Retail

FIRM SIZES TARGETED 3 Tier 1 and Tier 2 financial services firms

TARGET JOB TITLES Depends on the use case, usually in a global role: Compliance/Risk - CCO, CRO, Chief Legal Officer, Head of Risk/Compliance, Head of Regulatory Change Operational/Technical - COO, CIO, CTO, Head of Compliance Technology Information/Data - CDO, Global Head of Recordkeeping, Head of Data Privacy, Head of Information Security/Governance, Head of Data Privacy, Head of KYC, Head of Data Protection, Business - CMO, Head of Wealth Management, Head of Asset Management, Head of Customer Communications

CUBE (cont)



Reporting & Monitoring. GDPR: Voice and Data Capture, Database Analytics, Professional Services, Automation, Reporting & Monitoring.

REGULATORY SOLUTIONS Major Regulations MiFID II: Voice and Data Capture, Database Analytics, Professional Services, Automation,

COMPANY OVERVIEW A truly global 360° life cycle solution and support provider for voice + data capture and aligned communication compliance technologies, Custodia services highly regulated global market participants managing emerging communications and collaboration technologies within ever changing compliance landscapes. While compliance requirements expose trading organisations to regulatory burdens and barriers preventing the adoption of emerging modalities of communications and collaboration technology, Custodia enables organisations to provide their regulated users with cutting edge communications and collaboration tech while meeting compliance regulations head on and gaining a clear competitive advantage in the market.

DATE FOUNDED 2017


COMPANY HEADQUARTERS 17 St. Ann’s Square Manchester M2 7PW United Kingdom



COMPETITORS IPC, NICE, Wilmac, Business Systems.

SALES CONTACT Aaron Kirkham

E [email protected]

CEO Chris Hartley

ABOUT THE CEO Mr. Hartley, CEO of Custodia Technology, brings a wealth of over 25 years of industry experience to the business from Global Architecture and Senior Operations Management roles across International Telco and Contact Centre verticals. As Owner and Co-Founder of Custodia’s sister businesses in the cloud and emerging technology for Contact Centre and Enterprise markets (AI, Machine Learning & Blockchain etc.), Chris Co-Founded Custodia Technology to bring the same forward thinking and future technology focus that permeates the Contact Centre industry to the financial trading community and communications compliance technology space.

FUTURE PLANS Custodia Technology is a rapidly expanding enterprise service provider with a focus on delivering global communication and collaboration service transformation for the financial trading community. The Custodia View product will evolve and provide expanded functionality connecting disparate data sources within a single pane of glass dashboard for the management of compliance data, operations and automations providing advanced database analytics, monitoring and reporting.

Custodia Technology



Dodd-Frank: Voice and Data Capture, Database Analytics, Professional Services, Automation, Reporting & Monitoring. MAR: Voice and Data Capture, Database Analytics, Professional Services, Automation, Reporting & Monitoring.

BUSINESS FUNCTION SOLUTIONS Best Execution: Other: Voice and Data Capture, Database Analytics, Professional Services, Automation, Reporting & Monitoring.




TARGET JOB TITLES IT, Communications and Voice Managers, Product Managers, Compliance Managers and Compliance Program Directors, Digital Communications and Collaboration Managers and Directors, Digital Transformation Managers and Directors, Heads of Trading Desks, Heads of Trading Divisions, Chief Technology Officers or Executives, Chief Strategy Officers or Executives, Chief Information Officers or Executives, Chief Operating Officers or Executives, Chief Financial Officers or Executives.

Custodia Technology (cont)



Borrow/Stock Loan, Stock Allocation, Customer Portfolio Margin, Supplemental Inventory Schedules

REGIONS SELLING IN 3 North America

TYPES OF FIRMS TARGETING 3 Broker/Dealer

REGULATORY SOLUTIONS Other Regulations: SEC 15c3-1, SEC 15c3-3, SEC 17a-5, FINRA 4210, FINRA 4524

BUSINESS FUNCTION SOLUTIONS Records Retention & Document Management: Financial Reporting Responsibility Regulatory Reporting: Risk Based Haircuts, Fixed Income Haircuts, Repo/Reverse Repo, Stock

COMPANY OVERVIEW Dash Regulatory Technologies delivers the gold standard solution for US regulatory capital compliance. Our highly experienced group of industry experts deliver an elegant, precise, enterprise-wide solution to manage risk with innovative software solutions.

DATE FOUNDED 1994


COMPANY HEADQUARTERS 250 Park Avenue South New York 10003 USA



COMPETITORS Internal IT Development

SALES CONTACT Aaron Williams, Director

T 312-235-6411

E [email protected]

CEO Peter Maragos

ABOUT THE CEO Peter Maragos is CEO of Dash Financial Technologies, provider of one of the industry’s most advanced multi-asset trading technology and execution services platform. Mr. Maragos has spent most of his career in the trading technology industry, including co-founding Dash, which he helped grow the into a multi-asset trading technology and execution services market leader. He also served as the CEO of LiquidityPort, a fully electronic brokerage platform for all NYMEX ClearPort products, and before that served as CEO of SDS Financial Technologies, where he built and operated various OTC ATS platforms. Mr. Maragos began his career as an options market maker on the CBOE floor. He holds a Bachelor’s Degree in Resource Economics from the University of Massachusetts, Amherst.

FUTURE PLANS Dash 360R - delivers infinite transparency in real-time with first-of-its kind data visualization.

Dash Regulatory Technologies



3 Hedge Funds/Proprietary Traders 3 Regulator


TARGET JOB TITLES With a comprehensive suite of out-of-the-box tools, custom solutions and consultancy, Dash Regulatory Technologies provides everything required to satisfy the complex reporting requirements surrounding regulatory capital and compliance for the US broker-dealer industry.

Dash Regulatory Technologies (cont)



Finrep: DataAxxis Platform Solvency II: DataAxxis Platform

BUSINESS FUNCTION SOLUTIONS Client Onboarding: DataAxxis Platform Data Governance: DataAxxis Platform Distributed Ledger/Blockchain: DataAxxis Platform Financial Crime: DataAxxis Platform KYC/AML: DataAxxis Platform Market Risk: DataAxxis Platform Operational Risk Management: DataAxxis Platform

REGULATORY SOLUTIONS Major Regulations MiFID II: DataAxxis Platform Dodd-Frank: DataAxxis Platform MAR: DataAxxis Platform EMIR: DataAxxis Platform KYC/AML: DataAxxis Platform

Additional Regulations BCBS 239: DataAxxis Platform CFTC Regulation Automated Trading (Regulation AT): DataAxxis Platform (We presented to CFTC) CFTC Rules 1.73 and 1.74: DataAxxis Platform

COMPANY OVERVIEW We were founded under the principle of resolving BCBS 239 risk data aggregation. Our solution addresses components of MAR, EMIR, MIFID, Solvency 2. We transform legacy data to a semantics data model thereby allowing data to be aggregated across, corporate silos, and spreadsheets. EDM Council member. More information can be found at www.dataaxxis.com

DATE FOUNDED 2015


COMPANY HEADQUARTERS 6 East 39th Street New York 10016 USA

TOTAL FUNDING RAISED Self-funded


NUMBER OF LIVE CLIENTS We have a few clients leveraging our solution.

COMPETITORS Cambridge Semantics

SALES CONTACT John Senese, Dan Hubsher

T 845-224-6600

E [email protected]

CEO John Senese

ABOUT THE CEO 30 Years Financial Services Data Solutions career having worked for S&P, Bloomberg, and IBM.

FUTURE PLANS We plan to transform the ETL space to a more semantics based environment

DataAxxis



Records Retention & Document Management: DataAxxis Platform Regulatory Reporting: DataAxxis Platform Research Aggregation: DataAxxis Platform


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Regulator 3 Our solution addresses all aspects of semantics-based data aggregation for regulatory reporting.


TARGET JOB TITLES Data Stewardship, Compliance, Regulatory Reporting, Data Analysis, Data Aggregation, Natural Language Query, Data Mapping, Automation.

DataAxxis (cont)



COMPANY OVERVIEW Datactics specialises in data quality and matching software for firms operating in the financial sector to help comply with data-driven regulations including BCBS239, FATCA, MiFID II and FSCS. The company provides user-friendly tools with hundreds of built-in data rules to help financial institutions get their data in order and quickly respond to new standards. Solutions provide intelligence into the underlying quality of data as well as helping reduce the complexity and cost of onboarding entities into a Legal Entity Master through high-performance fuzzy-matching technology and connectivity to external data sources such as Dun & Bradstreet, Companies House, Bloomberg, Thomson Reuters etc.

DATE FOUNDED 1999

OWNERSHIP STRUCTURE VC-funded

COMPANY HEADQUARTERS Unit C1, Suite B, 2nd Floor, Lanyon Quay Belfast BT1 3LG United Kingdom

TOTAL FUNDING RAISED <£2 million


NUMBER OF LIVE CLIENTS 8 in banking & finance, 40 other blue-chip

REFERENCE CLIENTS Arion Bank; Danske Bank UK; Bank of Ireland UK

COMPETITORS In terms of specific data-driven regulatory compliance, Kaizen Reporting represent a competitor in this space. For broader data-driven activities underpinning run-the-bank initiatives, our competitors range from Trifacta (in data prep), Talend and Alteryx in data transformation & automation, and Trillium and Informatica in terms of enterprise data quality.

SALES CONTACT Kieran Seaward, Head of Sales

E [email protected]

CEO Stuart Harvey

ABOUT THE CEO CEO since 2015, Stuart spent many years with Reuters as a programmer, technical engineer and technical architect before co-founding FinTech company Harco, sold to NYSE after winning 30+ global banks for its DART entitlement technology. He is an investor in several tech start-ups including PathXL, acquired by Philips in 2016.

FUTURE PLANS Alongside our ongoing strategy to develop and deploy our existing solutions to meet emerging regulatory requirements, we are undertaking significant Machine Learning R&D for even greater automation of data processes. We are planning further recruitment to reflect the increasing number of business projects we have in the pipeline.

Datactics



3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Regulator 3 Retail


TARGET JOB TITLES CDO, Head of Data, Head of Regulatory Reporting, Head of Vendor Management, Head of Client Onboarding/Client Data, Head of Data Quality

MiFID II: Match Engine; MiFID II Toolkit GDPR: Match Engine; Single View of Client/Customer (SVC) Dodd-Frank: RegMetrics; Match Engine SFTR: RegMetrics; Match Engine EMIR: Match Engine KYC/AML: Match Engine; SVC

Additional Regulations AIFMD: RegMetrics; Match Engine BCBS 239: RegMetrics; SVC; Match Engine Corep: RegMetrics Financial Market Infrastructure Act: RegMetrics Finrep: RegMetrics SEC Form PF: RegMetrics Solvency II: RegMetrics; Match Engine Other Regulations: FSCS: RegMetrics; AnaCredit: RegMetrics; FATCA: Match Engine; CRD IV: SVC

BUSINESS FUNCTION SOLUTIONS Client Onboarding: Match Engine Data Lineage: RegMetrics has some applications here Data Governance: RegMetrics has some applications here KYC/AML: Match Engine; SVC Regulatory Reporting: RegMetrics; Match Engine; SVC; MiFID II Toolkit Risk/Risk Calculation: (all solutions relevant in pre-calculation) Trade/Transaction Reporting: Match Engine; RegMetrics


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders

REGULATORY SOLUTIONS Major Regulations Datactics (cont)



COMPANY OVERVIEW The Panopticon Streaming Analytics Platform enables traders and managers to spot outliers and anomalies, including fraud, in trading data. Major Investment Banks, asset managers, and exchanges use Panopticon to improve profitability, monitor risk, and comply with regulations, including MiFID II. The platform consists of Panopticon Visual Analytics software, the only true real-time data visualization system on the market, and Panopticon Streams, a stream processing engine that enables users to program sophisticated business logic and data functions using a fully visual interface. The Platform integrates directly with the real-time message buses (including Kafka), historic tick data stores (including Kx kdb+, OneTick, Vertica, and SparkSQL), and predictive engines (including Python) in common use in the Capital Markets industry. The Platform is optimized for handling time-critical data, including data that may be changing with extreme rapidity. Panopticon’s filtering tools enable users to zoom and out on the time line, remove false positives from the screen, and focus on exceptions. Users can solve difficult problems quickly, understand complex relationships in seconds, and identify issues requiring further investigation with just a few clicks. One of the most common use cases for the Platform is Best Execution. Banks, hedge funds, and other clients use Panopticon to continuously optimize order execution – pre-trade, during execution, and post trade. With it, they can: - Analyze historic order flow for execution policy breaches - Subscribe to and view live order execution performance - Subscribe to and see live performance of selected child orders - Compare execution history to past activity and market data across venue – down to the nanosecond - Play back through past activity - Back test to optimize strategies and select best performing algos - Update thresholds and limits directly from the dashboard When compliance people or traders spot anomalous orders, they can investigate them right away and see the complete execution history for the selected order. They can also review all historical activity to identify systemic problems and performance divergences. Other common use cases include Trade Surveillance and Trader Surveillance.

DATE FOUNDED 1988


COMPANY HEADQUARTERS 4 Crosby Drive Bedford, MA 01730 United States

TOTAL FUNDING RAISED NASDAQ-listed public company, symbol DWCH


NUMBER OF LIVE CLIENTS ~100

COMPETITORS First Derivatives & Kx Delta/Kx Dashboards Bespoke development in D3 and other chart libraries Qlikview/Qliksense (for end-of-day reporting only) Tableau Software (for end-of-day reporting only) TIBCO Spotfire Grafana ZoomData

SALES CONTACT Alan Gardiner

T 44 7798 570191

E [email protected]

CEO Michael Morrison

Datawatch Panopticon



Trading Venues: Panopticon Visual Analytics, Panopticon Streams


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Regulator


TARGET JOB TITLES Chief Compliance Officer, Trader Portfolio Manager, Head of Trading, Chief Investment Officer

REGULATORY SOLUTIONS Major Regulations MiFID II: Panopticon Visual Analytics, Panopticon Streams FRTB: Panopticon Visual Analytics, Panopticon Streams

Additional Regulations Basel III: Panopticon Visual Analytics, Panopticon Streams

BUSINESS FUNCTION SOLUTIONS Best Execution: Panopticon Visual Analytics, Panopticon Streams Conduct Risk: Panopticon Visual Analytics, Panopticon Streams Infrastructure Monitoring: Panopticon Visual Analytics, Panopticon Streams Market Risk: Panopticon Visual Analytics, Panopticon Streams Operational Risk Management: Panopticon Visual Analytics, Panopticon Streams Pre-Trade Risk: Panopticon Visual Analytics, Panopticon Streams Risk/Risk Calculation: Panopticon Visual Analytics, Panopticon Streams Trade/Transaction Reporting: Panopticon Visual Analytics, Panopticon Streams

ABOUT THE CEO Michael Morrison is President and Chief Executive Officer of Datawatch Corporation, and is responsible for driving the vision and strategy for Datawatch’s business growth and market leadership. Prior to Datawatch, Morrison was vice president, financial performance management at IBM, and held a similar position at Cognos prior to its acquisition by IBM in 2008. Before Cognos, he was chief operating officer at Applix Inc., a leader in business analytics software. During his three-year tenure at Applix, Morrison was responsible for all sales operations, marketing, business development and customer support. During this time, the company emerged as the fastest growing vendor in its market segment, achieving compound annual growth rates in excess of 30 percent. Applix was acquired by Cognos in 2007. Morrison holds a J.D. from Boston College Law School and a B.S. in Mathematics from Tufts University.

FUTURE PLANS We have just released Panopticon Streams, a stream processing engine, and major milestones in the current roadmap include a number of enhancements to its capabilities, including: - Web SDK integration - Stream Processing Engine (Kafka) - Simple web authoring - Improved server scaling - Predictive analytics capabilities We are also continuing the development of the Visual Analytics component of the Platform, including addition of an expanded set of data visualizations optimized for Capital Markets applications.

Datawatch Panopticon (cont)



COMPANY OVERVIEW Donnelley Financial Solutions (DFIN) is a leader in risk and compliance solutions, providing insightful technology, industry expertise and data insights to clients across the globe.

DATE FOUNDED 1983


COMPANY HEADQUARTERS 35 W. Wacker Chicago, IL 60601 United States

TOTAL FUNDING RAISED


NUMBER OF LIVE CLIENTS

REFERENCE CLIENTS

COMPETITORS Confluence & Axioma

SALES CONTACT BaoChau Nguyen

T 1 212 658 5204

E [email protected]

CEO Dan Leib

ABOUT THE CEO Dan Leib has served as President and Chief Executive Officer, and a member of Donnelley Financial Solutions (DFIN) board since DFIN became an independent public company in 2016. Dan has significant management experience, including strategy, mergers & acquisitions, treasury, investor relations, operations and international. Prior to DFIN becoming an independent public company, Dan was with predecessor company, RR Donnelley since 2004. Dan’s roles included Chief Financial Officer and Executive Vice President from 2011 until the spin-off. Prior to that, Dan held various positions of increasing responsibility including Group Chief Financial Officer, Senior Vice President of Finance, Mergers & Acquisition, Treasurer, and Vice President of Investor Relations. Prior to RR Donnelley, Dan was with Interpublic Group of Companies, Dun & Bradstreet, Sears and Andersen Consulting. Dan serves as an Independent Trustee of William Blair Mutual Funds. He graduated from New York University with a MBA and from University of Illinois, Champaign-Urbana with a BS in Finance.

FUTURE PLANS To come

Donnelley Financial Solutions

REGULATORY SOLUTIONS Additional Regulations Other Regulations: MiFID II /N-Port, N-CEN, PRIIPS

BUSINESS FUNCTION SOLUTIONS Regulatory Reporting: MiFID II / Other (N-Port,

N-CEN, PRIIPS)

REGIONS SELLING IN 3 Europe 3 North America 3 South America



3 Middle East & Africa 3 Asia / Pacific

TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian / Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Retail


TARGET JOB TITLES n/a

Donnelley Financial Solutions (cont)



COMPANY OVERVIEW eClerx provides critical business operations services to over fifty global Fortune 500 clients, including some of the world’s leading companies across financial services, cable & telecom, retail, fashion, media & entertainment, manufacturing, travel & leisure, software and high-tech. Incorporated in 2000, eClerx is one of India’s leading process management and data analytics companies and is today traded on both the Bombay and National Stock Exchanges of India. eClerx employs 9,000 people across its global sites in the US, UK, India, Italy, Germany, Singapore, Thailand. eClerx’s services are broadly classified into 3 business divisions: • eClerx Markets: For financial organisations across the world, eClerx Markets, offers consulting, technological innovation, and process management expertise to uniquely solve operational challenges. With nearly two decades of industry experience complemented by the application of smart automation and robotics, our team of experts deliver holistic solutions across the trade life cycle, change management, data analytics, compliance, cash securities operations, document digitization and generation, and outreach. • eClerx Digital: eClerx Digital is the trusted partner of choice to the world’s largest global brands for creative production, eCommerce/web operations, and analytics & insights services. We improve profitability for their digital businesses. Our team of 3000+ full-time digital delivery employees at our five production hubs in Mumbai, Pune, Chandigarh, Verona and Phuket apply deep digital expertise to effectively support the most demanding global clients by employing a follow the sun delivery model. eClerx Digital’s innovative delivery model drives the “metrics that matter” for our clients: improved acquisition, conversion and retention and overall lifetime value of your customer 24x7x365. • eClerx Customer Operations: eClerx Customer Operations specialises in providing operational expertise and process excellence throughout the customer journey. We create solutions and services, utilizing a blend of technology and domain knowledge that support our clients’ evolving needs. Our suite of offerings enhances the customer experience by providing quality monitoring/insights, advanced analytics, automation, superior technical operations support and digital care services. We assist companies in developing, implementing and operating multichannel customer interaction capabilities – transforming everyday touchpoints into a superior customer experience. We specialize in designing and implementing platforms that simplify and increase control of complex business processes. Our platforms help in improving efficiency and effectiveness, and deliver value through automation, enhanced controls, and best in class, industry related processes. It is the combination of staff along with our proprietary technology solution – eClerx Compliance Manager – that enables us to help transform the way banks on-board new customers, complete remediation projects and refresh client data. This tool, automates as much as 60% of the KYC process and seamlessly integrates with client systems, industry utilities as well as hundreds of best-in-class data providers. eClerx Compliance Manager, enables us to partner with our customers to design policies and solutions, transform and optimize resources, manage operational and regulatory risk, deploy tactical solutions, reduce costs by leveraging automation, along with a KYC rules engine, and manage day-to-day operations.

DATE FOUNDED 2000


COMPANY HEADQUARTERS Sonawala Building 1st Floor 29 Bank Street, Fort Mumbai 400023 India

eClerx Services



reports and client documents, and elimination of false positives during client screening §API connectivity with most best-in-class external data vendors and utilities § Process Checklist and Guidance documents embedded with the workflow §Workflow enforced rule engine to drive consistency information gathering process §Workflow enabled outreach capability to send standardized emails to customers, follow-up and track responses.

BUSINESS FUNCTION SOLUTIONS KYC/AML: Compliance Manager Records Retention & Document Management: DocIntel

REGULATORY SOLUTIONS Major Regulations KYC/AML: Compliance Manager – A proprietary technology suite that provides a segmented policy-driven, risk-based approach across global jurisdictions. It helps implement global due diligence and on-boarding policies and procedures while leveraging a dynamic customer screening workflow to reduce manual intervention and costs. The specific components of Compliance Manager Platform that will bring maximum value to the KYC/AML Service offering include: §A robust maker-check workflow with complete auditability and traceability of information §Robotics Process Automation for data extraction from 300+ corporate registries, exchanges and KYC data vendors Natural Language Processing and Artificial Intelligence solutions for data extraction from annual


NUMBER OF LIVE CLIENTS eClerx has a client base of more than 200 customers across its business divisions i..e Financial Markets, Digital and Customer Operations. In our Financial Markets vertical, we support front-to-back client lifecycle functions with 1,400+ FTEs, including support for 10 of the top 14 Global Banks. We provide KYC support for 7 of the top 20 banks.

REFERENCE CLIENTS Representative customer profiles for our top 3 clients where we provide KYC services are as below: • Leading Swiss-based Global Investment Bank • Canadian Multinational Bank • Leading Australia-based Global Investment Bank. As per the non-disclosure agreements we have with our clients, we are not allowed to disclose their names and contact information.

CEO Anjan Malik

ABOUT THE CEO Anjan Malik is eClerx’s co-founder and Executive Director. Anjan has in-depth experience across Investment Banking, capital markets, consulting and technology solutions. Prior to founding eClerx, Anjan headed Lehman Brothers’ Holdings Inc.’s credit trading department in London. He has an MBA in Finance from the University of Pennsylvania’s Wharton School and a first class Bachelor’s of Science degree in Physics from the Imperial College of Science and Technology in London.

FUTURE PLANS eClerx’s future strategy is to become a central delivery agency of choice for Financial Services, Analytics and Technology. Our goal is to help leading organizations realize their customer experience and their operational growth goals through the innovative use of people, process, technology and industry leading platforms. By 2020, we aim to double our business growth by expanding within our existing client relationships, along with aggressive acquisition plans to bring new market-driven capabilities into our portfolio.

eClerx Services (cont)




TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management


eClerx Services (cont)



KYC/AML: NeEX Operational Risk Management: NeEX Regulatory Reporting: Time-as-a-Service (TaaS)


REGULATORY SOLUTIONS Major Regulations MiFID II: Time-as-a-Service (TaaS) GDPR: Time-as-a-Service (TaaS) Dodd-Frank: SFTR: NeEX KYC/AML: NeEX

BUSINESS FUNCTION SOLUTIONS Best Execution: NeEX Infrastructure Monitoring: NeEX

COMPANY OVERVIEW Business and technology consulting, innovation and RegTech/FinTech ISV for the financial sector. emagine was founded in 1988; in 2018, we generated over 125 million euros in revenue. emagine’s key strength is our deep knowledge and understanding of the environment in which our capital market clients operate. emagine’s Fintech Practice combines decades of expertise and latest & greatest - but proven financial technology to manage regulatory-driven trading optimization change. Our clients range from IBs, Brokers, Market Makers, Asset Managers, FX & Commodity trading participants, etc... Some of the fields we help our clients with : - Regulatory Compliance for Trading (Time-as-a-Service : local hubs global distribution, EMEA, US/CAN, LATAM, APAC), monitoring/alerting and full compliance reporting on mandatory KPIs - Network monitoring and latency optimization analytics, - Self-evolving IT & Trading/event driven Performance Analytics - Desktops/Servers, Apps, Networks, Trading (AI/Machine Learning)

DATE FOUNDED 1987

OWNERSHIP STRUCTURE Private.

COMPANY HEADQUARTERS 33 Gracechurch St London EC3V 0BT UK


REFERENCE CLIENTS Case by case scenario (under NDA)

COMPETITORS Corvil, Velocimetrics, ITRS, AppDynamics, Splunk

SALES CONTACT Michael Villain

T 44 0207 041 1000

E [email protected]

CEO Jean-Francois Bodin

FUTURE PLANS Enhancements to complement the depth and breadth of AI Analytics provided by NeEX.

emagine



TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management 3 HFTs, Market Makers, Liquidity Providers, SIs, MTFs/OTFs, Telcos


TARGET JOB TITLES CxOs : CTOs, COOs, Head Traders/Dealers, Heads of : e-Trading Technology, Algo Trading, Trading IT Infrastructure, Apps Performance, Front-office Analytics, DevOps, Network, Colocation, Market Connectivity, Market Data, Risk & Compliance Technology, Regulatory Program Managers (Investor Protection).

emagine (cont)



3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Retail


TARGET JOB TITLES Head of Compliance, Risk Analyst, Risk Manager, Compliance Officer, Risk Officer

REGULATORY SOLUTIONS Major Regulations KYC/AML: encompass confirm

BUSINESS FUNCTION SOLUTIONS Client Onboarding: encompass confirm KYC/AML: encompass confirm Operational Risk Management: encompass confirm Research Aggregation: encompass confirm


TYPES OF FIRMS TARGETING 3 Custodian/Funds Administrator

COMPANY OVERVIEW encompass is the creator of Know Your Customer (KYC) automation for major financial and professional service firms globally. We are the only provider of simultaneous, real-time access to multiple sources of global company and person data. By using robotic search to discover everything your KYC policy demands, encompass delivers more efficient processes and faster, safer regulatory compliance, resulting in lower costs and superior risk management. encompass’ products robotically search structured and unstructured information sources to automate your KYC, AML and EDD policies. Key elements including UBOs, PEPs, sanctions and adverse media are all identified, visualised and verified in seconds. Whether it’s one, or one thousand customers, enhanced risk assessment, monitoring and remediation can now be achieved at scale through the power of automation.

DATE FOUNDED 2011


COMPANY HEADQUARTERS Floor 3, 33 Bothwell Street Glasgow G2 6NL UK


SALES CONTACT Simon Lemos, Head of Sales Financial Services

T 44 0333 772 0002

E [email protected]

CEO Wayne Johnson

ABOUT THE CEO Wayne co-founded encompass in Sydney and took the product to the Australian market in 2012. Since then, as CEO he has led the international expansion of the company, including the UK launch in 2015 and recognition as one of the UK’s most influential RegTech firms. Prior to encompass Wayne was co-founder and CEO of Software Associates, until the company’s successful exit to a Hong Kong listed Company.

encompass corporation



COMPANY OVERVIEW Keeping up with regulatory change and identifying what regulators are interested in is difficult. Enforcd is here to help. Our global regulatory intelligence platform helps firms horizon scan and keep up to date with regulatory thinking. High quality insight, augmented with news and statistics and supported by deep dive misconduct analysis, helps firms identify, manage and mitigate conduct risk and provides actionable insight. It enables users to provide the regulators with direct evidence that staff are taking notice of regulator views and keep up to date with regulatory developments across the world. There is a lack of coherence and transparency around regulatory activity globally and a failure by firms to share best practice. The platform brings a variety of complementary information together and analyses it, using a mixture of algorithmic techniques, with the ‘human in the loop’, to make required action clear and to enable meaningful analysis the regulatory agenda. The platform can be used in many different ways depending on the staff member engaging with it and has been designed to appeal to all staff, whatever their role, from the Chief Executive, to compliance officer, to a trainee trader. The Enforcd Teamwork function enables superusers to create and manage teams within Enforcd and to assign items to specific ‘reading lists’ and then to run reports evidencing who has read what, enabling frictionless circulation of information and the integration of Enforcd into a firm’s training strategy. It can also lead to the democratisation of compliance and risk information – enabling traders and client facing staff to take individual responsibility for some of their development needs, using real time, high quality independent information, that’s presented in an engaging way. Users can now access the Enforcd platform via the brand new app - allowing senior managers, lawyers or bankers to share critical regulatory updates with their colleagues at a click of button.

DATE FOUNDED 2015

OWNERSHIP STRUCTURE Private & VC Funded

COMPANY HEADQUARTERS 60 Ludgate Hill Second Floor London EC4M 7HX United Kingdom


SALES CONTACT Rebecca Harvey - Content and Marketing Manager

E [email protected]

CEO Jane Walshe

ABOUT THE CEO Jane is a Chartered Fellow of the CISI, and a financial services regulatory barrister who previously worked in the Regulator’s Enforcement Division as well as in house at JP Morgan. She is a consultant editor of ‘Individual Conduct in Financial Services Firms’ - a practitioner guide published by Sweet & Maxwell. Prior to founding Enforcd, Jane was a Senior Regulatory Intelligence Expert at Thomson Reuters Compliance Complete.

Enforcd




TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Regulator


TARGET JOB TITLES Senior managers, Investment Bankers, Insurers, Legal Professionals.

Enforcd (cont)



COMPANY OVERVIEW Equiniti KYC Solutions, formerly known as KYCNet, was founded in Amsterdam in 2008, pioneering the development of a ‘KYC-as-a-Service’ model, and has worked exclusively in the KYC sector since 2008, providing complete KYC Due Diligence analysis. The company was acquired in March 2016 by Equiniti Group, a UK-based and stock-listed company, but maintains its head office in Amsterdam. Building on 10 years of established KYC experience, EQ KYC offers both an end-to-end process i.e. KYC-as-a-Service, as well as the ability to purchase a self-service offering i.e. the in-house developed KYC software, built by KYC practitioners. KYC is a key risk for FIs and it is crucial that organizations can demonstrate to regulators that they have robust and effective KYC processes and systems in place. Flexibility is one of our assets, enabling firms to play to their strengths and create a bespoke service to suit their business needs. We offer a flexible delivery model, and can provide software in the cloud, on premise, or alternatively clients can access KYC-as-a-Service, where they can benefit from our KYC Centre of Excellence i.e. a team of KYC experts, who speak more than 30 languages. KYC is complex and costly for the smaller institutions, which have recently come under the scrutiny of financial regulators. We have recognized and understood their need for a KYC solution which is cost effective, easily adaptable but still highly compliant – hence, we will soon cater to this type of prospects with our KYCnet-in-a-box. This pre-configured end-to-end core backbone that can evolve easily upon request will give smaller institutions something that can have up and running within a couple of weeks.

DATE FOUNDED 2008

OWNERSHIP STRUCTURE Wholly-owned subsidiary of Equiniti Group PLC, a British based outsourcing business, listed on the London Stock Exchange and a constituent of the FTSE 250 Index.

COMPANY HEADQUARTERS Danzigerkade 23B Amsterdam 1013AP Netherlands


COMPETITORS Fenergo, PegaSystems, Encompass, NICE Actimize, Thomson Reuters

SALES CONTACT Storm Nell

E [email protected]

CEO Sian Jones

ABOUT THE CEO Sian joined Equiniti Group in 2008, originally as a member of the Executive committee in the pensions division, holding roles including Envision Partnership Director and Public Sector Director, before moving to Equiniti’s Digital division to join KYC. Sian has a proven track record of delivering successfully into highly regulated customers, across the pensions and financial services sectors. Her career has included roles managing steady state delivery and major transformation, across both operational and software businesses. This combination of experience makes her particularly suited to our KYC Solutions business which offers services and software to assist our clients in safely onboarding and, where needed, to remediate past onboarding. Sian has an MSC in

Equiniti KYC Solutions



REGULATORY SOLUTIONS Major Regulations MiFID II: KYCnet Dodd-Frank: KYCnet KYC/AML: KYCnet Other Regulations: PSD2, MLD4/5

BUSINESS FUNCTION SOLUTIONS Client Onboarding: KYCnet KYC/AML: KYCnet Records Retention & Document Management: KYCnet Regulatory Reporting: KYCnet Risk/Risk Calculation: KYCnet


TYPES OF FIRMS TARGETING 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Chief Compliance Officer, KYC Manager, Risk Officer, Director Client Onboarding

International Finance, and an MBA and is an Associate of the Pensions Management Institute and of the Chartered Insurance Institute.

FUTURE PLANS Spread our footprint in North America and further develop our flagship product, KYCnet, to serve the needs of smaller entities subject to regulatory scrutiny.

Equiniti KYC Solutions (cont)



3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Traders, Portfolio Strategists, Fund Managers, ETF Issuers, Compliance

REGULATORY SOLUTIONS Other Regulations: SEC Proposed Rule 6c-11 - AKA “ETF Rule”

BUSINESS FUNCTION SOLUTIONS Best Execution: ETFLogic Compliance Suite Pre-Trade Risk: ETFLogic Compliance Suite Trading Venues: ETFLogic Compliance Suite


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders

COMPANY OVERVIEW ETFLogic is an ETF Quant Research Platform that brings a new level of transparency to the ETF market. We are founded by former traders, market-makers and data analysts. We are a “quant-in-a-box” that provides instantly available analytics and tools powered by a vast set of databases that organize a daily deluge of data from global markets. Our clients are institutional ETF ecosystem members who need to grow ETF assets and understand the risks and costs around factors, themes, fixed income and ETF trading. We provide a complete solution for handling new SEC regulatory requirements for ETF issuers via the new ETF Rule (Proposed Rule 6c-11)

DATE FOUNDED 2017


COMPANY HEADQUARTERS 353 3rd Ave New York, NY 10010 United States



COMPETITORS None at the moment.

SALES CONTACT Emil Tarazi

E [email protected]

CEO Emil Tarazi

ABOUT THE CEO ETF Industry Veteran - Former ETF Trader and Market Maker

FUTURE PLANS We are building an ETF intraday fair value for trading and best-execution purposes.

ETFLogic



COMPANY OVERVIEW Euromoney TRADEDATA is an established and trusted reference data provider to the futures and options industry. It has become the gold standard for futures and options reference data in central data repositories for many top banks as a strategic vendor and its simple proposition of engagement to develop reference data solutions that clients need, continues to drive efficiencies and release firm’s physical and intellectual capital to focus on creating trading strategies to deliver competitive advantage. The company’s core strengths derive from combining its subject matter expertise with solid data engineering skills to bring new products to market which solve clients’ problems and to continuously engage with its customers to improve their trade processing efficiencies and for them to remain compliant with the requirements of tough regulation. The company has serviced the industry by leveraging a proven community data model to become a trusted partner and has evolved from data products to data solutions to meet the exacting standards and expectations set by its demanding clients. Central to the success of its business and that of its clients, Euromoney TRADEDATA has forged strong and enduring alliances with peer group vendors and system providers that have enabled it to aggregate licensed data that a single supplier of licensable market data would not be able to achieve. For nearly 20yrs Euromoney TRADEDATA has worked closely with its customer base to innovate, develop and implement enhanced reference data solutions and has tackled market data vendor symbology, responded to increased activity in OTC clearing and new regulatory reporting requirements mandated as a response to the financial crisis.

The most successful alliance partnerships are those where a mutual dependency exists, where products or services can only be delivered through collaboration and where specific market needs are met or future market positions are being taken. In many respects, a very focused collaboration can produce more timely and direct results to customers than broader industry based collaboration, which is long term due to the nature of the more diverse needs of its participant members, although the big solutions when implemented, reshape an industry and its dynamics. Through our Alliance Partner Program, we collaborate with industry participants including market data vendors, regulators and other bodies to provide robust solutions that enable competition in the supply and choice available to clients.

Euromoney TRADEDATA has a modern, adaptable and flexible operation that is geared around customisation of client services, a business that takes a creative approach to solving data problems and an organisation that delivers a proven value proposition to the world’s top tier banks.

DATE FOUNDED 1997

OWNERSHIP STRUCTURE A Euromoney Institutional Investor PLC company

COMPANY HEADQUARTERS 8 Bouverie Street London EC4Y 8AX United Kingdom


SALES CONTACT Gregg Whitbread

T 44 07474 825 128

Euromoney TRADEDATA




TYPES OF FIRMS TARGETING 3 Investment Bank 3 Investment Management 3 Regulator


TARGET JOB TITLES CTO, COO, Head of Risk, Head of IT solutions for front, middle and back office operations, Compliance and Risk Managers, Exchange Product Development Managers, Head of Business Development, Product Managers, SMC Vendor Management, Head of Market Data

E [email protected]

CEO Mark Woolfenden

ABOUT THE CEO Mark runs the division, represents the company at key industry forums and manages relations with clients and other industry participants including the vendor community. Mark has had extensive experience of providing complex and technical outsourced services to business within the deregulated UK energy markets, running a specialist contributed information exchange data business for global agricultural manufacturers and his current role involving worldwide futures, options and OTC cleared markets. Mark has wide experience in managing customer relationships and new product development and has also served on a number of industry panels and working groups, which have covered regulatory frameworks, technical issues and market enabling solutions.

Euromoney TRADEDATA (cont)



3 Middle East & Africa

TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Investment Bank 3 Corporate bank

FIRM SIZES TARGETED 3 Tier 2 3 Tier 3 3 Small independents 3 Start-ups

TARGET JOB TITLES Treasurer, CCO, Head of Trading, CIO, CTO

REGULATORY SOLUTIONS Major Regulations MiFID II: Siena Regulatory Reporter SFTR: Siena Regulatory Reporter EMIR: Siena Regulatory Reporter

BUSINESS FUNCTION SOLUTIONS Best Execution: Siena Regulatory Reporter Regulatory Reporting: Siena Regulatory Reporter Trade/Transaction Reporting: Siena Regulatory Reporter


COMPANY OVERVIEW Eurobase is a privately held, diversified business solutions group headquartered in the United Kingdom. Eurobase has, for the past 30 years, developed and produced market-leading solutions for the banking and reinsurance industries globally, including on-line customer portals, front office treasury management & sales desk solutions incorporating regulatory reporting. Our customer trading solutions offer full best execution monitoring combined with regulatory reporting for MiFIR, EMIR and SFTR. They enable our clients to meet all client segmentation and engagements with full audit trails and trade reconstruction in a single, compact application.

DATE FOUNDED 1988


COMPANY HEADQUARTERS Essex House, County Place, Chelmsford, Essex Orpington CM2 0RE United Kingdom



COMPETITORS Incumbent systems. We have not come across anyone that offers a venue-neutral solution for client best execution monitoring combined with trade and transaction reporting.

SALES CONTACT Gill Bacon

E [email protected]

CEO Joe Locke

ABOUT THE CEO Joe has significant experience gained from over 20 years of developing and implementing software solutions worldwide within banking (eFX, treasury management) and insurance (general, London market, Lloyd’s, reinsurance & captives).

FUTURE PLANS SFTR, Pre-trade risk, collateral management




REGIONS SELLING IN 3 Europe 3 North America 3 Middle East & Africa 3 Asia/Pacific

TYPES OF FIRMS TARGETING 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Data Manager, CEO, COO

COMPANY OVERVIEW EDI helps the global financial and investment community make informed decisions through the provision of fast, accurate and affordable data reference services. EDI’s extensive content database includes worldwide equity and fixed income corporate actions, dividends, static reference data, closing prices and shares outstanding, delivered via data feeds and the Internet.

DATE FOUNDED 1984


COMPANY HEADQUARTERS 5-7 Highgate Road London NW5 1JY United Kingdom


COMPETITORS Thomson Reuters, S&P, Bloomberg

SALES CONTACT Exchange Data

E [email protected]

CEO Jonathan Bloch

FUTURE PLANS Company rebrand, US market and Asian market

Exchange Data International



3 Investment Management 3 Retail


TARGET JOB TITLES Risk, Compliance, Operations, Sales, Marketing, Analysts

REGULATORY SOLUTIONS Major Regulations MiFID II: FE European MiFID II Template for Asset Managers & Institutions

Other Regulations: PRIIPs - FE European PRIIPs Template, FE UCITS KIIDs and PRIIPs KIDs, FE DCPT Template

BUSINESS FUNCTION SOLUTIONS Best Execution: Regulatory Reporting: MiFID II and PRIIPs solutions, DCPT & FVPT Other: Global Funds Registrations and maintenance


TYPES OF FIRMS TARGETING 3 Custodian/Funds Administrator 3 Investment Bank

COMPANY OVERVIEW FE is a leading provider of data, ratings and investment research, to the 3 Investment Management industry. We use our expertise to help our clients unlock the potential in their data, and connect and communicate more effectively with their customers, whilst ensuring regulatory compliance and transparency. This in turn helps the industry make better informed and superior investment decisions. Founded in 1996, FE is a private company with a strong presence in the UK, Europe, and the Asia Pacific.

DATE FOUNDED 1996


COMPANY HEADQUARTERS 3rd Floor, Hollywood House, Church Street East Woking GU21 6HJ United Kingdom


COMPETITORS KNEIP, RR Donnelley, Morningstar, FundAssist, etc

CEO Neil Bradford

FUTURE PLANS Ongoing - will disclose at a later date.

FE



3 Investment Bank 3 Investment Management


TARGET JOB TITLES Head of Compliance, Head of Operations, Head of Research, Head of Data

REGULATORY SOLUTIONS Major Regulations MiFID II: FeedStock Analytics

BUSINESS FUNCTION SOLUTIONS Research Aggregation: FeedStock Analytics


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders

COMPANY OVERVIEW FeedStock is the only truly automated business analytics system for clients in capital markets. Using the very latest technologies and machine learning models, FeedStock interfaces with legacy business applications to filter, capture and classify work-related activities. The system is integrated and non-disruptive. It sits in the client’s existing IT infrastructure to automatically capture interaction data across applications and business tools to generate rich, insightful engagement data, which serves both compliance and commercial use cases. FeedStock satisfies the MiFID II research unbundling requirements automatically and without disrupting the investment process or demanding any time from front office staff.

DATE FOUNDED 2015

OWNERSHIP STRUCTURE VC-Funded

COMPANY HEADQUARTERS FeedStock, 37 Floral Street London WC2E 9DJ United Kingdom


COMPETITORS We do not have any direct competitors

SALES CONTACT Oliver Wedlake

E [email protected]

CEO Lucas Wurfbain

ABOUT THE CEO Lucas is the co-founder of FeedStock. Having been an analyst and fund manager at GAM, Rubicon and Fortress, Lucas brings buy-side expertise.

FUTURE PLANS Continue to respond to client requests by expanding the number of business programs and applications with which we can integrate.

FeedStock



Conduct Risk: Fonetic Trade Comms Suite Financial Crime: Fonetic Trade Comms Suite Market Risk: Fonetic Trade Comms Suite Regulatory Reporting: Fonetic Trade Comms Suite


REGULATORY SOLUTIONS Major Regulations MiFID II: Fonetic Trade Comms Suite Dodd-Frank: Fonetic Trade Comms Suite MAR: Fonetic Trade Comms Suite

Additional Regulations CFTC Regulation Automated Trading (Regulation AT): Fonetic Trade Comms Suite

BUSINESS FUNCTION SOLUTIONS Best Execution: Fonetic Trade Comms Suite

COMPANY OVERVIEW Fonetic was founded with one goal in mind: to create value by helping machines better understand humans. We have pioneered the use of audio data and voice analytics for the financial services community. With years of experience in voice and e-comms analysis, machine learning and natural language processing, we offer the most accurate trading floor surveillance solution on the market today.

DATE FOUNDED 2006


COMPANY HEADQUARTERS Av. de la Institución Libre de Enseñanza Madrid 28037 España


COMPETITORS Digital Reasoning, Behavox, Nice Actimize, Bloomberg

SALES CONTACT Katie Hoyle (Marketing)

E [email protected]

CEO Juan Manuel Soto

ABOUT THE CEO Juan Manuel Soto - CEO and Founder of Fonetic after being CEO at InfoSpeech and KEON. He graduated from Cranfield University with an MSc in Advanced Manufacturing Technology and also studied Industrial Engineering at University of Bilbao. Juanma is responsible for the strategic development of the company and new customer solutions for trading.

FUTURE PLANS As demand for effective voice surveillance systems is heavily increasing, we will keep our focus on extending voice analysis capabilities such as the emotions covered by our engines and a deeper cross-language understanding. We will also increase the reach of artificial intelligence engines, enhancing cognitive analysis. Ongoing and future work will cover supervision of trader behaviour, profiling and reconstructed negotiations in the Front Office.

Fonetic



TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Chief Compliance Officer roles, Heads of Surveillance, CEOs, COOs, CTOs, other C-level executives, First Line of Defence, Heads of Front Office, Heads of Trading/IT/Technology/Innovation

Fonetic (cont)



COMPANY OVERVIEW Financial compliance is a demanding and exacting task. Our clients typically invest tens, or hundreds of billions of dollars into equities traded in dozens of jurisdictions, and the complexities in maintaining compliance in so many countries are enormous. Previously, the fund industry has had two choices to deal with a shifting sea of regulation: buy a large, expensive and archaic software package… or build a large, expensive and unreliable software package in-house. FundApps offers a third choice with its unique compliance service and provides both technology and content. Our services have been designed based on the input provided by the real compliance experts - the FundApps user community. Combining software and up-to-date regulatory content, provided by aosphere (an affiliate of Allen & Overy), our services address the key challenges of position limits and shareholding disclosure monitoring, enabling clients to build and sustain a robust compliance infrastructure and a culture of oversight and transparency. It also significantly addresses the risks of non-compliance, which attracts ever stricter penalties. One of the biggest problems that compliance teams at large financial institutions face is keeping track of regulatory updates around the world. By supporting over 90 jurisdictions with our compliance services, we’re extremely attractive to clients with an international approach to investment, as well as those with offices in multiple countries. The global fund industry currently manages about $74 trillion, so the target market is enormous. In 2013 KPMG estimated that the Investment Management industry spends 7% of its total costs on “compliance related technology, staff and strategy”, and that number has certainly grown in the past four years. This shows that firms do not only spend a significant amount of money on compliance technology, there is also enormous appetite for services that increase efficiency, save time and lower costs, such as FundApps.

DATE FOUNDED 2010


COMPANY HEADQUARTERS 48-50 Scrutton Street London EC2A 4HH United Kingdom

TOTAL FUNDING RAISED Bootstrapped



REFERENCE CLIENTS www.fundapps.co/about-us/clients

COMPETITORS Shareholding Disclosure SaaS providers

SALES CONTACT

T 44 20 3637 4997

E [email protected]

CEO Andrew White

FundApps



REGULATORY SOLUTIONS Major Regulations MiFID II: Position Limits

Additional Regulations AIFMD: Shareholding Disclosure CFTC Rules 1.73 and 1.74: Position Limits SEC Form PF: Shareholding Disclosure Other Regulations: TDA, SSR, major shareholding (including 13D/13G), 13F reporting, short selling (EU SSR, HK, Japan, etc.), takeover panels, issuer limits, issuer requests (such as Section 793), 90+ jurisdictions

BUSINESS FUNCTION SOLUTIONS Regulatory Reporting: Shareholding Disclosure


TYPES OF FIRMS TARGETING 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Compliance

ABOUT THE CEO Andrew Patrick White is the Founder & CEO of FundApps, a company which provides cloud-based regulation monitoring to investment managers. Before FundApps, Andrew created the compliance monitoring software MIG21 at Aquin Components GmbH. He went on to become the Managing Director & Head of Business Development for Aquin International before exiting with a trade sale to State Street in 2008. Andrew holds a degree in Computer Science, Linguistics & German from Trinity College Dublin.

FUTURE PLANS We continually focus on expanding our client base, increasing awareness of regulatory requirements and how our services can help make compliance simple.

FundApps (cont)




TARGET JOB TITLES Head of Investment Compliance, Head of Regulatory Reporting, Regulatory Reporting Managers, Investment Compliance Managers, Chief Compliance Officers, Chief Operating Officers, Operations Managers

REGULATORY SOLUTIONS Additional Regulations AIFMD: AIFMD Annex IV Reporting SEC Form PF: Form PF Reporting Other Regulations: UCITS Investment Compliance, 1940 Act, Shareholder Disclosures, Depositary Cash Flow Monitoring

BUSINESS FUNCTION SOLUTIONS Regulatory Reporting: AIFMD Annex IV Reporting, 13F Reporting


TYPES OF FIRMS TARGETING 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Management

COMPANY OVERVIEW Funds-Axis is a RegTECH company, with a unique combination of regulatory expertise and best-of-breed technology. Our focus is on the challenges facing global investment managers as regards investment compliance, risk and regulatory reporting. We help you to meet your regulatory obligations at a lower cost, lower risk and in a shorter time-frame compared to our competitors or if you develop an in-house solution. Our clients are leading global asset managers, fund administrators, management companies and depositary banks.

DATE FOUNDED 2007


COMPANY HEADQUARTERS 31 Southampton Row London WC1B 5HJ United Kingdom



COMPETITORS Linedata, AxiomSL

CEO Darren Burrows

FUTURE PLANS We are currently increasing our product suite to help our existing clients as well as new clients meet their regulatory reporting, risk monitoring and investment compliance requirements.

Funds-Axis



COMPANY OVERVIEW Global Risk Management Advisors (GRMA) is a leading FinTech and advisory firm. We provide curated data and reporting for risk, investment holdings, and performance as a complete and cost-effective managed service. In addition, by leveraging our extensive practitioner experience, we can provide value-added advisory services to our clients. GRMA’s principals have over 25 years of senior-level investment risk management experience at major global financial institutions, asset management firms and in the government. Our data and Reporting offering is intended to solve for the complex investment and risk management portion of much of the regulatory reporting that fund managers must to today.

DATE FOUNDED 2008


COMPANY HEADQUARTERS 800 Third Avenue, 28th Floor New York 10022 USA


NUMBER OF LIVE CLIENTS 85+ clients

REFERENCE CLIENTS Client references available on request

COMPETITORS Currently, only the largest fund administrators provide a partial segment of the investment holdings, performance or risk management data/reporting that our firm is able to provide on a comprehensive basis.

SALES CONTACT Mary Beth Glaccum

T 1 917 251 9532

E [email protected]

CEO Samuel K. Won

ABOUT THE CEO Samuel K. Won is the Founder and Managing Director of Global Risk Management Advisors, a leading RiskTech and risk management advisory firm providing asset managers and investors with institutional -quality risk measurement, risk monitoring, risk reporting and risk management advisory as a complete and cost-effective managed service. Mr. Won has over 25 years of risk management, capital markets, trading and portfolio management experience at major financial institutions in the public and private sectors. In the Investment Management industry, Mr. Won was Chief Risk Officer at Brencourt Advisors, Chief Risk Officer at Ospraie Management, and he headed up investment risk management of over $44 billion in alternative assets for Citigroup Alternative Investments. On Wall Street, Mr. Won led trading risk management for customer trading, proprietary trading and capital markets for Citigroup Global Markets, and he played a similar role as Global Head of Risk Management at Dresdner Kleinwort Benson. In the public sector, Mr. Won was in charge of risk management for the capital markets portion of the bailout of the Savings and Loan industry during the 1980s. Mr. Won played a leading role in creating the risk management section of the Managed Funds Association’s Sound Practices for Hedge Fund Managers. He has advised leading hedge funds, private

Global Risk Management Advisors




TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Management 3 Retail 3 Endowments, Foundations, Pensions, Family Offices as well as FinTech Firms, Administrators and Wealth Management and RIA Firms


TARGET JOB TITLES We are able to support all aspects related to investment and risk management related data and reporting for regulatory, investor and fund operations purposes.

REGULATORY SOLUTIONS Dodd-Frank: Data and Reporting Solutions--Standard and Bespoke

Additional Regulations AIFMD: Data and Reporting Solutions--Standard and Bespoke SEC Form PF: Data and Reporting Solutions--Standard and Bespoke Other Regulations: Open Protocol (OPERA), N-PORT, CPO/PQR, Investor Transparency Reporting, Exposure Reporting and PerformanceAttribution/Benchmarking

BUSINESS FUNCTION SOLUTIONS Market Risk: Data and Reporting Solutions--Standard and Bespoke Operational Risk Management: Data and Reporting Solutions--Standard and Bespoke Pre-Trade Risk: Data and Reporting Solutions--Standard and Bespoke Regulatory Reporting: Form PF, AIFMD/Annex IV, CPO/PQR, N-PORT, Open Protocol, Investor Transparency Reporting, etc. Risk/Capital Adequacy: Data and Reporting Solutions--Standard and Bespoke Risk/Risk Calculation: Data and Reporting Solutions--Standard and Bespoke

equity funds, other asset managers, institutional-investors and regulatory agencies, including the SEC, the CFTC, the Federal Reserve, the Office of the Comptroller of the Currency and the FSA, on major risk management, trading and capital markets issues and policies. Mr. Won has extensive experience in investment risk management, risk architecture and analysis, asset allocation/risk budgeting, portfolio strategy, and investor relations/marketing for a wide range of asset classes and investment strategies, including hedge funds, private equity, real estate and long-only investments. In addition, Mr. Won served on the investment and risk committees at several major financial institutions, where he headed up investment risk management. Mr. Won was named Co-Chairman of the Managed Funds Association’s Chief Risk Officer Forum/Steering Committee. Mr. Won completed a B.A. at Northwestern University, attended the Tuck School of Business at Dartmouth College and received a Masters degree from Columbia University with a concentration in International Finance and Economic Policy Management.

FUTURE PLANS In addition to the many alternative and traditional asset managers we currently serve, we are planning on providing more enhanced data and reporting for institutional investors (e.g. endowments, pensions, foundations, family offices) as well as Wealth Management Firms and FinTech firms that provide data and/or reporting that is investment/risk management related.

Global Risk Management Advisors (cont)



BUSINESS FUNCTION SOLUTIONS Client Onboarding: GoldenSource Client Onboarding Data Lineage: GoldenSource EDM Platform Data Governance: GoldenSource EDM Platform Infrastructure Monitoring: GoldenSource OnDemand KYC/AML: GoldenSource Client Onboarding Market Risk: GoldenSource Market Data Solution Regulatory Reporting: GoldenSource Reporting Framework Risk/Capital Adequacy: GoldenSource Risk Master

REGULATORY SOLUTIONS Major Regulations MiFID II: GoldenSource MiFID II FRTB: GoldenSource FRTB SFTR: GoldenSource SFTR KYC/AML: GoldenSource Client Onboarding

Additional Regulations BCBS 239: GoldenSource BCBS239 Solvency II: GoldenSource Solvency II Other Regulations: SEC Form N-PORT, SEC Form N-CEN

COMPANY OVERVIEW GoldenSource EDM is optimized for the next wave of business, operations and IT needs, addressing the evolving demands of multi-regulatory compliance and reporting, harmonized data across the organization, and productivity gains through automation and IT rationalization.

DATE FOUNDED 1984


COMPANY HEADQUARTERS 111 Broadway, 16th floor New York City NY 10006 USA



REFERENCE CLIENTS Relevant references will be arranged per the requirements of prospective clients

COMPETITORS Polarlake Markit EDM Eagle

SALES CONTACT Neill Vanlint

T 44 (0)20 7422 7020

E [email protected]

CEO John H. Eley

ABOUT THE CEO Prior to joining GoldenSource, John was President and CEO of Pivot, the leading developer of Instant Messaging software for trading professionals. Pivot was sold to the CME Group in July 2012. John is an adjunct professor at the Columbia University School of Public Policy

FUTURE PLANS For an up-to-date discussion on the development roadmap please contact [email protected]

GoldenSource Corporation



Risk/Risk Calculation: GoldenSource Risk Master Trade/Transaction Reporting: GoldenSource Reporting Framework Other: GoldenSource Corporate Actions, GoldenSource IPV


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Exchanges, Depositories


TARGET JOB TITLES Regulatory Reporting, Regulatory Compliance, Regulatory Project/Programme/Change Management, Operations, Data Operations, Data Management, Risk Management, Risk IT, Model Management, Product Control, BCBS239, MiFID II, Solvency II, FRTB, SFTR, N-PORT/N-CEN, Pruval

GoldenSource Corporation (cont)



COMPANY OVERVIEW Gresham is a leading software and services company that specialises in providing real-time data integrity and control solutions. Gresham’s award-winning Clareti software platform has been designed to provide financial institutions with complete certainty in their data processing. Clareti is a highly flexible and fully scalable platform for ensuring the integrity of data across an enterprise. It is designed to address today’s most challenging financial control, risk management, data governance and regulatory compliance problems. Listed on the main market of the London Stock Exchange (GHT.L) and headquartered in the City of London, its customers include some of the world’s largest financial institutions, all of whom are served locally from offices located in Europe, North America and Asia Pacific.

DATE FOUNDED 1969

OWNERSHIP STRUCTURE Public - Listed on the main market of the London Stock Exchange (GHT.L).

COMPANY HEADQUARTERS Aldermary House 10-15 Queen Street 4th Floor London EC4N 1TX United Kingdom


COMPETITORS Smart Stream

SALES CONTACT Jan Dinger, Head of US

T 1 646 943 5955

E [email protected]

CEO Ian Manocha

ABOUT THE CEO Ian Manocha has been the Chief Executive Officer of Gresham Computing plc since June 1, 2015 and serves as its Executive Director. Mr. Manocha served as Head of Business Portfolio at SAS Institute, Inc. Mr. Manocha served as the Managing Director SAS UK and Ireland at SAS Software Limited and served as its member of the SAS EMEA Executive Board. Mr. Manocha joined SAS in 1996 to develop its Manchester sales office and in 2000 he moved to the SAS UK head office to take up the position of Sales Director. In 2005, his career took on an international dimension when he became responsible for the direction of SAS’ financial services business across Europe, the Middle East and Africa In 2007, he moved to Vienna, where as Managing Director of SAS Austria he was responsible for major customers across Central and Eastern Europe. A civil engineer with a military background, he entered the business technology world just under 25 years ago when he joined ICL (now Fujitsu), where he initially worked on government and defence contracts followed by a move into selling into the insurance industry. Mr. Manocha holds a BSc Honours degree in Civil Engineering from Southampton University.

FUTURE PLANS Gresham’s Clareti is the only platform to enable the creation and commercialisation of new financial products in days rather than months. It empowers you to fly ahead of the competition while eliminating the worry of breaching regulations. It’s able to do this because it is built with agility

Gresham Technologies



REGULATORY SOLUTIONS Major Regulations MiFID II: Clareti GDPR: Clareti SFTR: Clareti EMIR: Clareti

Additional Regulations Basel III: Clareti BCBS 239: Clareti Other Regulations: BASEL III, MiFID II, EMIR, SFTR, ASIC & HKMA Reporting, and CAT

BUSINESS FUNCTION SOLUTIONS Data Governance: Clareti Records Retention & Document Management: Clareti Regulatory Reporting: Clareti Trade/Transaction Reporting: Clareti


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management 3 Banks, Asset Managers


TARGET JOB TITLES Head of Reconciliations, Regulations, Compliance, Risk, Data, IT, COO

at its core to be flexible enough to handle an infinite number of new product complexities. Meanwhile, compliance and system headaches disappear like magic because Clareti eradicates the need for old reconciliation engines and spreadsheets. This is all down to its unique ability to deliver rigorous integrity across your entire environment with one single solution, incorporating Gresham’s powerful control framework and unique suite of accelerators beyond anything ever seen before.

Gresham Technologies (cont)




TYPES OF FIRMS TARGETING RegTech solutions providers

FIRM SIZES TARGETED RegTech solutions providers

TARGET JOB TITLES Sales, Marketing, Product

COMPANY OVERVIEW Hawk Search provides recruitment services for senior sales, marketing and product executives at RegTech firms.

DATE FOUNDED 2009


COMPANY HEADQUARTERS 11 Hill Road Haslemere GU27 2JP United Kingdom



COMPETITORS My clients’ own in-house recruitment teams

SALES CONTACT Aine Hall

E [email protected]

CEO Aine Hall

ABOUT THE CEO Founder and Recruiter at Hawk Search.

FUTURE PLANS Keep doing what we’re doing.

Hawk Search




TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Investment Bank 3 Investment Management 3 Wholesale Banking

FIRM SIZES TARGETED 3 Tier 2 3 Tier 3 3 Small independents

TARGET JOB TITLES Operations, Finance, Compliance, Risk, Middle Office

REGULATORY SOLUTIONS Major Regulations KYC/AML: Huma WhiteBox®; WhiteBox Rapport®

Additional Regulations BCBS 239: Huma WhiteBox®; WhiteBox Rapport® Benchmarks Regulation: Other Regulations: FSA 048; FINRA ACT and OATS; Ruglator ad-hoc reporting via Huma WhiteBox®; WhiteBox Rapport®

BUSINESS FUNCTION SOLUTIONS Data Governance: Huma WhiteBox® KYC/AML: Huma WhiteBox®; WhiteBox Rapport® Operational Risk Management: Huma WhiteBox®; WhiteBox Rapport® Trade/Transaction Reporting: Huma WhiteBox®; WhiteBox Rapport Other: Liquidity Risk (FSA 048) via Huma WhiteBox®; WhiteBox Rapport®

COMPANY OVERVIEW Huma WhiteBox® is a platform that provides data governance for data from any source; many standard industry sources that are required to perform regulatory reporting. We capture business rules and reporting requirements that can be reused across the organization to ensure consistent organization-wide reporting. All of which can be created and distributed automatically as scheduled, as needed.

DATE FOUNDED 2015


COMPANY HEADQUARTERS 221 River Street, 9th Floor Hoboken 7030 USA


COMPETITORS Our end to end solution is unique. Clients who build such solutions will typically bring together ETL solutions; Data Warehouses; Reporting Software - Informatica, TIBCO, Oracle, Tableau...

CEO Ralph Alfonso

ABOUT THE CEO 30 years’ experience with senior management roles in Technology and Operations on Wall Street with organisations such as Mitsubishi Securities and Nomura Securities

FUTURE PLANS Next Gen version in development to provide historical attribute reporting. Continual growth in reporting solutions as driven by Client demand - Operational Checklist; FO/BO Reconciliation...

Huma Americas



COMPANY OVERVIEW Founded in 2000, iMeta is a leading provider of client lifecycle management software and services; delivering solutions to institutional brokers, dealers and wholesale banks around the globe. iMeta CLM is a purpose-built, modern, modular platform for on-boarding and client lifecycle management, which handles the global complex regulatory data requirements for financial firms and enables them to manage their customer data – from on-boarding and regulatory compliance, through to reviews, remediations and off-boarding; supporting the whole lifecycle of the client. Financial firms are often managing complex business relationships and strive to provide their clients with a professional and enjoyable experience in all their interactions. iMeta CLM is designed to support the needs of front, middle and back office to save time, deliver a positive client experience, and reduce costs. By integrating workflow and data management iMeta CLM ensures a single view of client data; delivering increased efficiencies and enhanced operational control. With a highly flexible data model, workflow and business rules engine that can be configured in-house, the system is able to comply with existing KYC and other regulatory demands such as MiFIDII, DFA, and EMIR; delivering a single view of the client, and providing auditable traceability of applied policies and data – ensuring regulatory surety for KYC and AML. By utilising iMeta CLM, financial firms can automate client lifecycle processes and reap many benefits including; • Being able to track adherence to policies and provide auditable proof of processes and decisions • Realising faster time to revenue with improved upsell opportunities • Increased efficiencies, control over data, with less manual work and cost savings • A highly regarded reputation for delivering a superior customer experience

DATE FOUNDED 2000


COMPANY HEADQUARTERS Gamma House, Enterprise Road, Southampton Science park Southampton SO16 7NS United Kingdom



COMPETITORS Own-build, Fenergo, Pega, Goldtier

SALES CONTACT George Collier

E [email protected]

CEO Ben Marsh

ABOUT THE CEO Ben Marsh is responsible for the strategic and commercial development of the iMeta CLM platform. He has over 25 years’ experience in wholesale financial markets, and a proven track record of delivering complex IT solutions to large financial institutions. Prior to iMeta, Ben held commercial and operations roles at Lehman Brothers, Global Crossing and Reuters.

FUTURE PLANS iMeta plans to continue to enhance its class leading CLM platform. Enhancements planned are usage of AI, OCR, NLG and NLP technology, client facing web-portal, improved UI, enhanced reporting functionality.

iMeta Technologies



REGULATORY SOLUTIONS Major Regulations MiFID II: iMeta CLM Dodd-Frank: iMeta CLM EMIR: iMeta CLM KYC/AML: iMeta CLM

Additional Regulations AIFMD: iMeta CLM Basel III: iMeta CLM Dodd-Frank Volcker Rule: iMeta CLM Other Regulations: iMeta CLM has pre-built policies for most financialregulations, configured in conjunction with our regulatory expert partners, JWG and Lysis. iMeta CLM is also designed to be configurable by clients so that they can implement their own policies quickly and efficiently - therefore iMeta can be configured to meet all CLM, KYC, AML risk policies.

BUSINESS FUNCTION SOLUTIONS Client Onboarding: iMeta CLM Financial Crime: iMeta CLM KYC/AML: iMeta CLM




TARGET JOB TITLES Head of Operations, Head of Client Onboarding, Head of Compliance, Head of KYC, CDO, Head of Risk

iMeta Technologies (cont)



COMPANY OVERVIEW To provide innovative solutions to business problems and constantly look to improve products and services in order that our customers continue to deliver high quality cost effective service to their valued client base. IMVS is a business solutions provider not just a product provider. The realistic target market for IMVS does not lie at the top end of the market, the opportunity for growth at IMVS lies in the small to medium Private Client Wealth Managers with FUM ranging from £50m to £1.5b. There is a significant minority part of the sector dealing with the management of assets for the private investor, legal trusts and small “self administered” pension funds, it is this part of the market that APA is designed to address. We use a technology architecture that allows us to deliver the flexibility and speed of change required by the market that over the past 10 years has seen an ever increasing demand on compliance and regulatory requirements which we can deliver cost effectively. The UK Investment Management business deals with assets of approximately £6.9tn (2016) with Discretionary Private Clients attributing £479bn (2016). The UK is the second largest asset management centre in the world, after the United States and in front of Japan. From a systems perspective, at the higher end of the market is dominated by a small number of key global suppliers many of which still maintain and support legacy systems together with a proportion of in-house built solutions.

DATE FOUNDED 2000

OWNERSHIP STRUCTURE Private. Wholly owned by the Directors, staff and one founding member.

COMPANY HEADQUARTERS 31 Caroline Street Birmingham B3 1UE United Kingdom



REFERENCE CLIENTS Hathaway Investment Management, Birmingham. Maunby Investment Management, Harrogate. Myddleton Croft Investment Managers, Leeds. Balkerne Investment Management, Colchester.

COMPETITORS Third Financial (Tercero), Iress (Pulse)

SALES CONTACT John Motley

E [email protected]

CEO John Motley

ABOUT THE CEO For 30 years of his working life John has been involved with all aspects of Stockbroking Administration from junior clerk through to Operations Director. This has covered both London & Provincial based firms catering for Institutional, Private Client, Retail & Clearing Operations. In the last 20 years he has used all the knowledge that he has gained to drive and assist with the development of Portfolio Administration System for Discretionary, Advisory & ISA Private Client Investment Management companies.

IMVS



REGULATORY SOLUTIONS Major Regulations MiFID II: APA GDPR: APA KYC/AML: APA & eAPP

BUSINESS FUNCTION SOLUTIONS Best Execution: APA Client Onboarding: eAPP

Infrastructure Monitoring: RMR KYC/AML: APA & eAPP Operational Risk Management: APA, IMPACT & RMR Pre-Trade Risk: APA & IMPACT Records Retention & Document Management: APA & CRM Regulatory Reporting: APA & RMR Risk/Capital Adequacy: RMR Trade/Transaction Reporting: APA (MIFID II) Trading Venues: APA Other: VOLe = On Line Valuations


TYPES OF FIRMS TARGETING 3 Investment Management

FIRM SIZES TARGETED 3 Tier 3 3 Small independents

TARGET JOB TITLES COO & CTOs

FUTURE PLANS Over the next 5 years:- To increase the number of customers from 7 to 12 To sign up at least 1-2 new customers per year To increase our revenues and profitability on a year by year basis. To continue to enhance product in line with business requirements To increase the market awareness of IMVS. Development wise to complete the development of RMR (Regulatory Monitoring & Reporting). The APA (Oracle database) holds a vast amount of significant and relevant data which historically has not been actively utilised. The new module part of the whole suite of Wealth Management tools under the APA banner will provide our customers with automated processes to complete: Regulatory Monitoring CASS MIFID II Static Data Integrity HMRC reporting Capacity for Loss, etc.

IMVS (cont)



voice recoding, Mobile voice recording, Speech to text analytics and surveillance MAR: MiFID, Unigy, Unigy 360, Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance, Policy Engine EMIR: MiFID, Unigy, Unigy 360, Trader voice

REGULATORY SOLUTIONS Major Regulations MiFID II: Unigy, Unigy 360, Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance. Dodd-Frank: MiFID, Unigy, Unigy 360, Trader

COMPANY OVERVIEW IPC is a technology and service leader powering the global financial markets. We help clients anticipate change and solve problems, setting the standard with industry expertise, exceptional service and comprehensive technology. With a customer-first mentality, IPC brings together one of the largest and most diverse global financial ecosystems spanning all asset classes and market participants. As the enabler of this ecosystem, IPC empowers the community to interact, transact and react to market changes and challenges, and we collaborate with our customers to help make them secure, productive, compliant and connected. Connecting opportunities IPC brings together a financial community of 6,000+ that spans the asset classes and types of market participant. As part of the community, our clients are empowered to reliably interact, transact and react to market changes and challenges. Combining industry expertise, exceptional service and comprehensive technology, we help clients anticipate change and solve problems. And, we collaborate to make them secure, productive, compliant and connected. Communications. Compliance. Community. From our award-winning communications platforms to our suite of compliance and network connectivity solutions, we focus on solving business challenges and meeting changing regulatory requirements so our clients can: maintain constant market access and liquidity; capture a competitive advantage; control costs and improve return on equity; improve operational speed, productivity and efficiency. IPC’s capabilities in terms of trade, transaction, and voice recorded data make it a key component of its clients’ ability to manage regulatory compliance for key regulations such MiFID, Dodd Frank, MAR, EMIR and all other regulations that touch on the management of Investment Banking. IPC provides technological innovations through capturing voice recording, time stamping and a whole host of other trade related data that can be used to manage reporting and surveillance.

DATE FOUNDED 1978


COMPANY HEADQUARTERS Harborside Financial Center 3 Second Street Plaza 10 Jersey City NJ 07311 USA


CEO Bob Santella

ABOUT THE CEO Robert (Bob) A. Santella has had an accomplished career in the financial and capital markets spanning over three decades, including extensive experience across asset classes, ecosystem participants and front, middle, back-office trade life-cycle work-flows and systems.

IPC Systems



TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Cloud services

recoding, Mobile voice recording, Speech to text analytics and surveillance, Policy Engine

Additional Regulations CFTC Regulation Automated Trading (Regulation AT): MiFID, Unigy, Unigy 360, Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance, Policy Engine

BUSINESS FUNCTION SOLUTIONS Best Execution: MiFID, Unigy, Unigy 360, Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance, Policy Engine Conduct Risk: MiFID, Unigy, Unigy 360, Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance, Policy Engine

Infrastructure Monitoring: Control and Overisght analytics, Call Match, Recording Check Market Risk: Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance, Policy Engine Operational Risk Management: Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance, Policy Engine Pre-Trade Risk: Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance, Policy Engine Records Retention & Document Management: Trader voice recoding, Mobile voice recording, Speech to text conversation Trade/Transaction Reporting: Trader voice recoding, Mobile voice recording, Speech to text analytics and surveillance Trading Venues: Connexus Ethernet, Connexus Extranet, FX Hub, Connexus Chrono, Connexus WAN


IPC Systems (cont)



Solvency II: ISIN2LEI.eu Other Regulations: Basically every regulation that requires to report LEI data.

BUSINESS FUNCTION SOLUTIONS Best Execution: Client Onboarding: ISIN2LEI.eu Conduct Risk: ISIN2LEI.eu Financial Crime: ISIN2LEI.eu KYC/AML: ISIN2LEI.eu

REGULATORY SOLUTIONS Major Regulations MiFID II: ISIN2LEI.eu Dodd-Frank: ISIN2LEI.eu EMIR: ISIN2LEI.eu KYC/AML: ISIN2LEI.eu

Additional Regulations AIFMD: ISIN2LEI.eu Basel III: ISIN2LEI.eu

COMPANY OVERVIEW We provide linked open data on Legal Entity Identifiers (LEIs) and International Securities Identification Numbers (ISINs) Both Level 1 (Who is who) and Level 2 (Who owns whom) data on LEIs is made available. ISIN to LEI links are added from a Mifid II persepective. We make data available in a user-friendly webportal, where you can easily search and drilldown to the details Data can be exported to CSV and PDF and you can create your own list of favorite LEIs and ISINs.

DATE FOUNDED 2018

OWNERSHIP STRUCTURE Sole proprietorship

COMPANY HEADQUARTERS PO Box 1062 Tilburg 5004 BB The Netherlands


NUMBER OF LIVE CLIENTS Went live on September 1, 2018

COMPETITORS The big data vendors. Our key goal is to provide open data in a user friendly and easy to access way at low cost. We could act as the primary source or as a benchmark for the other data vendors used by our clients.

SALES CONTACT Johan Hol

T 31 6 2724 3521

E [email protected]

CEO Johan Hol

ABOUT THE CEO Johan is working in the financial sector for over 10 years. He worked at BNY Mellon on regulatory reporting for pension funds and insurance companies. He started his own business in 2015 with key focus on data management and regulatory reporting.

FUTURE PLANS We are planning to add additional mappings to our product such as GIIN, NACE, BIC. Next to that we will improve fuzzy match algorithms and add extra functionalities based on user experience and feedback.

ISIN2LEI.eu



Market Risk: ISIN2LEI.eu Regulatory Reporting: ISIN2LEI.eu Trade/Transaction Reporting: ISIN2LEI.eu Trading Venues: ISIN2LEI.eu


TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Investment Bank 3 Regulators 3 Banks, Pension Funds, Insurers


TARGET JOB TITLES Investment Accountant, Regulatory Reporting Specialist, Fund Accountant. Data Manager, Data Analyst, Data Quality Officer

ISIN2LEI.eu (cont)



Reference Data Testing, Advanced Reconciliation and Control Framework. Trade/Transaction Reporting: Accuracy Testing, Reference Data Testing, Advanced Reconciliation and Control Framework.


REGULATORY SOLUTIONS Major Regulations MiFID II: Accuracy Testing, Reference Data Testing, Advanced Reconciliation and Control Framework. Dodd-Frank: Accuracy Testing, Reference Data Testing, Advanced Reconciliation and Control Framework. EMIR: Accuracy Testing, Reference Data Testing, Advanced Reconciliation and Control Framework. Other Regulations: LCR, OCR, Canada, Singapore, ASIC, HKMA

BUSINESS FUNCTION SOLUTIONS Regulatory Reporting: Accuracy Testing,

COMPANY OVERVIEW Kaizen Reporting is a specialist regulatory reporting assurance firm. Founded by former regulator Dario Crispini, we’ve combined our deep knowledge of regulation with the latest in data analytics to develop a range of quality assurance services that address the ever-growing challenges that regulations present. Whether it’s MiFID I or II, EMIR, DFA, or another regulation, our testing and controls can give you confidence and peace of mind in the quality of your regulatory reporting. ReportShield™ provides complete compliance with regulatory obligations including MiFID II, EMIR, DFA and other G20 regulations and comprises four key components to satisfy the three mandatory reporting requirements of testing, reconciliations and a control framework.

DATE FOUNDED 2013


COMPANY HEADQUARTERS 12 Groveland Court London EC4M 9EH United Kingdom


COMPETITORS Deloitte, KPMG, EY, PwC

SALES CONTACT Priscilla Ancobiah

E [email protected]

CEO Dario Crispini

ABOUT THE CEO Dario is one of the foremost experts on regulatory reporting in the financial services industry.

FUTURE PLANS Introducing services for SFTR.

Kaizen Reporting



TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Head of Operations, Head of Regulatory Compliance, Head of Trade and Transaction Reporting.

Kaizen Reporting (cont)



COMPANY OVERVIEW kompany provides real-time, primary company data for Business KYC/AML/EDD and business verification purposes, including audit-proof documentary evidence. It connects over 150 government trade and commercial registers worldwide. The service is available via a web solution or through an Enterprise RESTful API. The web access provides a wide range of authoritative company information and documentation coupled with value added services such as company change monitoring and alerting, professional and fast turnaround translation of purchased documents, a Business Concierge service for retrieving difficult to locate company documents, and global PEP, Sanctions and Adverse Media searches. All these services can be shared amongst teams under an account hierarchy with single point billing and cost centre differentiation. For banking clients wanting seamless integration into their existing KYC or CRM systems, the RESTful API offers all the information, documentation, and features available through the web access exposed through a single, easy to use API, with a choice of packages tailored to suit the clients particular need.

DATE FOUNDED 2012

OWNERSHIP STRUCTURE Private company funded by founders, management and business angels.

COMPANY HEADQUARTERS Gusshausstrasse 15/5 Vienna 1040 Austria

TOTAL FUNDING RAISED €6 million



COMPETITORS Kyckr, Bureau van Dijk, DnB, Thomson Reuters

SALES CONTACT Richard Wakefield, Director Key Accounts and Corporate Sales

E [email protected]

CEO Russell Perry

ABOUT THE CEO Former CEO of 123people (55m mUVs), 2 successful exits to public companies, 20 years in senior roles in mobile industry.

FUTURE PLANS We are currently developing an automated live UBOdiscovery solution based on authoritative company information directly from commercial registers. Moreover, we are expanding our KYC Workspace, a solution specifically tailor made for the financial industry, where collaboration amongst different teams and business units becomes reality. Moreover, we are currently developing an on-chain KYC solution.

kompany



REGULATORY SOLUTIONS Major Regulations MiFID II: k-Corporate Package KYC/AML: k-Corporate Package, k-Business Package

BUSINESS FUNCTION SOLUTIONS Client Onboarding: k-Corporate Package, k-Business Package Distributed Ledger/Blockchain: We are currently developing an on-chain business KYC solution KYC/AML: k-Corporate Package, k-Business Package


TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management 3 All regulated financial industry participants that need to conduct Business KYC checks.


Our offering is fully scalable and offers start with single seat access plans going up to corporate/enterprise solutions including collaboration features.

TARGET JOB TITLES Compliance Officers, Risk Managers, Customer Onboarding Managers

kompany (cont)



BUSINESS FUNCTION SOLUTIONS Client Onboarding: Kompli-Global Conduct Risk: Kompli-Global Financial Crime: Kompli-Global KYC/AML: Kompli-Global Operational Risk Management: Kompli-Global Pre-Trade Risk: Kompli-Global

REGULATORY SOLUTIONS Major Regulations MiFID II: Kompli-Global GDPR: Kompli-Global FRTB: Kompli-Global Dodd-Frank: Kompli-Global KYC/AML: Kompli-Global

COMPANY OVERVIEW Kompli-Global uses a combination of advanced AI-driven technology and human expertise to identify and alert organisations to the ‘bad actors’ who are seeking to utilise their company to launder the proceeds of financial crime Our services reduce your exposure to fraud, mitigate against personal and corporate prosecution, protect the company’s brand’s reputation and make true regulatory compliance a cost effective reality. Kompli-Global has developed the world’s first truly multi-jurisdictional, multi-lingual due diligence search platform that discovers comprehensive and accurate adverse and negative information that goes far deeper than just the news & media. We enable you to uncover material information otherwise unavailable or too time consuming to find. Information that is essential to meet regulatory compliance such as 4MLD & 5MLD If you’re using traditional search engines, you could be missing >90% of the story.

DATE FOUNDED 2016


COMPANY HEADQUARTERS 1 Charterhouse Mews London EC1M 6BB United Kingdom


SALES CONTACT Martin Pashley

E [email protected]

CEO Jane Jee

ABOUT THE CEO Originally qualifying as a barrister, Jane has gained broad experience in card-based, e-money, internet and mobile payments having worked in commercial and legal roles in the sector for over 30 years. Jane has been CEO at Kompli-Global since 2016 Prior to this she was Managing Director at Access, the credit card issuing and acquiring organisation, and later Divisional Manager at Mondex International. Jane has undertaken a broad range of legal and compliance work for a wide variety of companies, including internet payment gateways (WorldPay and UC Group), mobile payment, e-money issuers, pre-paid card companies and money transmitters. Jane teaches post-graduate students about regulatory developments and the increasing use of technology in the field of payments and compliance and is a Fellow of the International Compliance Association. She regularly speaks at anti-money laundering legislation conferences on issues affecting financial institutions and other regulated entities as well as the benefits of RegTech

Kompli-Global



Risk/Risk Calculation: Kompli-Global


TYPES OF FIRMS TARGETING 3 Investment Bank 3 Regulator 3 Corporate Banking


TARGET JOB TITLES Compliance

Kompli-Global (cont)



3 Investment Bank 3 Investment Management 3 Retail


TARGET JOB TITLES Any

REGULATORY SOLUTIONS Major Regulations MiFID II: KyoLAB GDPR: KyoLAB KYC/AML: KyoLAB

Business function solutions Client Onboarding: KyoLAB Conduct Risk: KyoLAB Data Governance: KyoLAB Data Privacy & Digital Identity: KyoLAB KYC/AML: KyoLAB Records Retention & Document Management: KyoLAB Regulatory Reporting: KyoLAB Trade Surveillance & Cyber Security: KyoLAB Other: KyoLAB


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor

COMPANY OVERVIEW KyoLAB helps businesses engage with their client via popular mobile social media like WhatsApp or WeChat in a compliant way, providing audit trail and means for dispute resolution.

DATE FOUNDED 2016


COMPANY HEADQUARTERS 71-75 Shelton Street London WC2H 9JQ United Kingdom

CEO Jan-Michael Gorecki

KyoLAB



BUSINESS FUNCTION SOLUTIONS Best Execution: GRACE Trade Monitoring Client Onboarding: GRACE Client Management Conduct Risk: All GRACE Modules Data Governance: All GRACE Modules Data Privacy & Digital Identity: GRACE GDPR Financial Crime: GRACE AML KYC/AML: GRACE Client Management and GRACE AML Operational Risk Management: GRACE ORM Pre-Trade Risk: GRACE Compliance - Pre-trade

REGULATORY SOLUTIONS Major Regulations MiFID II: GRACE Client Management GDPR: GRACE GDPR Dodd-Frank: GRACE ORM and GRACE Compliance MAR: GRACE Trade Monitoring KYC/AML: GRACE AML

Additional Regulations Basel III: GRACE ORM SEC Form PF: GRACE Form PF

COMPANY OVERVIEW La Meer offers the GRACE suite of web based hosted model solutions for Operational risk management, operational due diligence, compliance management, client compliance, AML, GDPR, MiFID II, Trade Monitoring, IT Risk and Vendor Risk Management.

DATE FOUNDED 2010

OWNERSHIP STRUCTURE Private, 100% owned and funded

COMPANY HEADQUARTERS 111 W. Saint John Street, Suite 430 San Jose, CA 95113 USA



REFERENCE CLIENTS Golden Bear Consulting LA

COMPETITORS For ORM - IBM’s Open Pages, RSA Archer and Bwise In compliance- Cordium, NRS, Schwab Compliance 11 And other vendors for ITGRC, Vendor Risk

We have competition for each of our products GRACE ORM - Open Pages, RSA-Archer are some of them GRACE CCO - Cordium, Basiscode and NRS GRACE ITGRC-Vendor Risk - ProcessUnity to name a few

SALES CONTACT Laxmi Ramanath

E [email protected]

CEO Laxmi Ramanath

ABOUT THE CEO Subject matter expert, technologist with experience building systems for online trading for Bombay Stock Exchange, Derivatives technology, Equity research, integrated treasury, internet banking for Citibank London, and Citi worldwide. Have built out the GRACE suite with expertise on regulations, business process, IT management processes to be a leading vendor of web-based solutions to address latest regulatory requirements in US, UK, Europe.

FUTURE PLANS Use of AI, Voice Recognition, NLP and possibly Blockchain in KYC/AML

La Meer



approval management Records Retention & Document Management: All GRACE Modules Regulatory Reporting: GRACE Form PF Trade Surveillance & Cyber Security: GRACE Trade Monitoring Trade/Transaction Reporting: GRACE Trade Monitoring


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management 3 Retail 3 Pensions/ Endowments, Fund of Hedge funds,


TARGET JOB TITLES Risk Management, Compliance Management, Advisor Management, Broker-Dealer Rep Management, Trade Monitoring Staff, IT Risk Management, Vendor Management Staff, Senior Management and Board

La Meer (cont)



Client Onboarding: LEI Smart KYC/AML: LEI Smart Regulatory Reporting: LEI Smart Trade/Transaction Reporting: LEI Smart


TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Custodian/Funds Administrator

REGULATORY SOLUTIONS Major Regulations MiFID II: LEI Smart Dodd-Frank: LEI Smart SFTR: LEI Smart MAR: LEI Smart EMIR: LEI Smart KYC/AML: LEI Smart

Additional Regulations AIFMD: LEI Smart SEC Form PF: LEI Smart Solvency II: LEI Smart

BUSINESS FUNCTION SOLUTIONS

COMPANY OVERVIEW We’re in the “No LEI, No Trade” era. Regulations require correct and current legal entity data. You need it for clients, counterparties, and internal entities. You may need it for issuers. LEI Smart simplifies legal entity data management. It’s a cloud-based service that helps you get your data right and keep it right. Use it to validate existing mappings, find missing LEIs, and receive notification of critical data updates. LEI Smart’s web dashboard, file upload, and API are easy to adopt.

DATE FOUNDED 2015


COMPANY HEADQUARTERS 25 Broadway, 9th Floor New York, NY 10004 United States

TOTAL FUNDING RAISED Self-funded


COMPETITORS Thomson Reuters LEI Profiling Service Bloomberg LEI Data Verification

SALES CONTACT

E [email protected]

CEO Ben Lis

ABOUT THE CEO Ben experienced first-hand the legal entity identifier data management challenge in his prior role running product development for ICE Link, the Intercontinental Exchange’s post-trade processing platform for credit default swaps. Ben joined ICE via its acquisition of the Creditex Group where he was an early member of the team, first serving in the role of deputy CTO and then as the first employee of its successful spinoff, T-Zero.

FUTURE PLANS 2H of 2018: Version 2.0 of API, Simplified Data Feed

LEI Smart



3 Investment Bank 3 Investment Management 3 Regulator 3 Trading Platforms, Clearing Houses, Trade Repositories


TARGET JOB TITLES Compliance Manager, Customer Onboarding Manager, Data Administrator

LEI Smart (cont)



Operational Risk Management: EarlyBird Records Retention & Document Management: EarlyBird Trade Surveillance & Cyber Security: EarlyBird Trade/Transaction Reporting: EarlyBird

REGULATORY SOLUTIONS Major Regulations MiFID II: EarlyBird MAR: EarlyBird

BUSINESS FUNCTION SOLUTIONS Conduct Risk: EarlyBird Infrastructure Monitoring: EarlyBird

COMPANY OVERVIEW EarlyBird delivers full access to breaking news, comment and analysis on Twitter, while ensuring full compliance with Data Security requirements. EarlyBird allows your users to follow any Twitter account without requiring a Twitter account themselves. It records every Tweet seen and makes these available in a comprehensive Compliance Portal to IT and Compliance. It even includes deleted Tweets. Data recorded by EarlyBird can also be used as part of a MiFID II Trade Reconstruction.

DATE FOUNDED 2012

OWNERSHIP STRUCTURE Privately-held

COMPANY HEADQUARTERS 20 Ropemaker Street London EC2Y 9AR UK



REFERENCE CLIENTS References available only under NDA

COMPETITORS Bloomberg, Reuters and Selerity each offer restricted, heavily curated and hard to use Twitter access which doesn’t meet the traders’ requirements, but these products are often used as comparisons or benchmarks for EarlyBird.

SALES CONTACT Harris Darroch

T 020 7100 4489

E [email protected]

CEO Danny Watkins

ABOUT THE CEO Formerly Head of Technology at Bank of Montreal (BMO) Securitisation Group and data security specialist at BMO, Danny recognised the need for a safe, secure, compliant Twitter solution and left BMO to build what is now EarlyBird

FUTURE PLANS Scaling the system to handle larger numbers of users along with the introduction of team-based compliance monitoring and sharing resources within teams.

Market EarlyBird.com




TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management 3 Regulator


TARGET JOB TITLES Head of Trading, Head of Desk, Head of Compliance, Head of Innovation, Head of Market Data

Market EarlyBird.com (cont)



COMPANY OVERVIEW Founded in 2001 by senior executives and technologists in the database software and embedded systems industries, McObject is a provider of in-memory and persistent database systems for high performance/low latency applications. The eXtremeDB Financial Edition Database System was created specifically for capital markets’ requirements: Record-setting high performance and low-latency (jitter), elastic scalability, built-in analytics, time series, and more. With over 25 million deployments worldwide, eXtremeDB was created for industries and applications including capital markets, telecom, defense and industrial control systems that demand high levels of scalability, reliability and processing speed for storing and manipulating complex data. Based near Seattle, McObject is committed to providing innovative technology and first-rate services to customers and partners. McObject’s proven technology and service offerings enable customers to focus on their main goal of bringing compelling products to market faster, at an overall lower cost of development.

DATE FOUNDED 2001


COMPANY HEADQUARTERS 33309 1st Way South, Suite A-208 Federal Way 98003 USA


COMPETITORS kDB

SALES CONTACT Chris Mureen

T 1 425 888 8505

E [email protected]

CEO Steve Graves

ABOUT THE CEO Mr. Graves co-founded McObject in 2001. As the company’s president and CEO, he has both spearheaded McObject’s growth and helped the company attain its goal of providing embedded database technology that makes embedded systems smarter, more reliable and more cost-effective to develop and maintain. Prior to McObject, Mr. Graves was president and chairman of Centura Solutions Corporation, and vice president of worldwide consulting for Centura Software Corporation (NASDAQ: CNTR); he also served as president and chief operating officer of Raima Corporation. Mr. Graves is a member of the advisory board for the University of Washington’s certificate program in Embedded and Real Time Systems Programming.

FUTURE PLANS To provide our clients with the best possible data management products and services.

McObject



REGULATORY SOLUTIONS Other Regulations: We can be used by companies to create software for all regulations.

BUSINESS FUNCTION SOLUTIONS Other: There are many companies that use our software for business functions, but we don’t do it ourselves.


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Regulator 3 Retail 3 Anyone needing a low latency data management system.


TARGET JOB TITLES Software development, IT, CIO

McObject (cont)



Financial Crime: Partner with Encompass Confirm KYC/AML: Partner with Encompass Confirm Research Aggregation: Castine MiFID Research and Compliance Solutions Other: Castine MiFID Research and Compliance Solutions


REGULATORY SOLUTIONS Major Regulations MiFID II: Castine Research and Compliance Solutions GDPR: Consulting solution KYC/AML: Consulting solution and partner with Encompass Confirm Other Regulations: IFRS 17 partner with Legerity FastPost

BUSINESS FUNCTION SOLUTIONS Client Onboarding: Partner with Encompass Confirm

COMPANY OVERVIEW As financial sector specialists working at the intersection of regulatory driven and technology enabled change, we understand that the business challenges you face today demand effective solutions based on experience, expertise blended with innovation in ideas and technology. MPI provide skilled people with relevant experience to work with you, as well as MiFID, KYC/AML, machine learning/search, data and accounting standard solutions with partners to address these challenges, including major regulatory, risk, technology and data projects.

DATE FOUNDED 2004

OWNERSHIP STRUCTURE Limited Company

COMPANY HEADQUARTERS Crondall House, Wood Hill Lane Long Sutton HOOK RG29 1SU United Kingdom


COMPETITORS Other niche consultancies

SALES CONTACT John Cant

E [email protected]

CEO John Cant

ABOUT THE CEO John has extensive global experience leading transformation, turn around, regulatory, data, risk, and compliance driven programmes across financial sector

FUTURE PLANS Extend our machine learning/search solution which provides precise, relevant answers to free text questions, incorporating domain inference based on full documents without the need to tag or otherwise prepare the text. Typical use cases include supporting complex credit policies and enhancing otherwise limited FAQ policy chatbots in large firms.

MPI Europe



TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management


TARGET JOB TITLES The job functions we work with depends on the specific solution but we tend to work with COOs, Risk and Compliance, Operations and Technology

MPI Europe (cont)



Dodd-Frank Volcker Rule: MYRIAD Financial Market Infrastructure Act: MYRIAD

BUSINESS FUNCTION SOLUTIONS Client Onboarding: Embus Data Lineage: Embus, MYRIAD Data Governance: Embus, MYRIAD Data Privacy & Digital Identity: Embus, MYRIAD Infrastructure Monitoring: MYRIAD KYC/AML: Embus Market Risk: MYRIAD Operational Risk Management: Embus, MYRIAD Pre-Trade Risk: Embus

REGULATORY SOLUTIONS Major Regulations MiFID II: MYRIAD GDPR: Embus; MYRIAD

Dodd-Frank: MYRIAD EMIR: MYRIAD KYC/AML: Embus

Additional Regulations AIFMD: Embus, MYRIAD BCBS 239: MYRIAD Benchmarks Regulation: CODUDE

COMPANY OVERVIEW Established in 2004 and based in the City of London, the Company has a strong track record of delivery on its three platforms: CODUDE, Embus and MYRIAD. We have some of the biggest Financial Institutions in the World as Clients and work very closely with each of them to generate low-cost, high value-added solutions for Network and Vendor Management; for Client Onboarding and CLM; and for due diligence and questionnaire management.

DATE FOUNDED 2004

OWNERSHIP STRUCTURE 100% Private

COMPANY HEADQUARTERS 64-65 London Wall London EC2M 5TU UK

TOTAL FUNDING RAISED Owner-funded and organic growth


NUMBER OF LIVE CLIENTS More than 10

COMPETITORS Banks/FIs themselves

SALES CONTACT Michael Hill

E [email protected]

CEO Simon Shepherd

ABOUT THE CEO 12 years in Investment Banking in Property Finance and then Front Office in Trading and Sales. Latterly as Senior Managing Director at Deutsche Bank. Moved into Private Equity in 2000 as a direct investor in a number of software and FinTech Companies in the UK

FUTURE PLANS Organic growth fueled by M&A activity. We are also planning a Market Data Resource Centre

MYRIAD Group Technologies



Records Retention & Document Management: Embus, MYRIAD Regulatory Reporting: Embus, MYRIAD Research Aggregation: Embus, MYRIAD Risk/Risk Calculation: MYRIAD


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Corporates


TARGET JOB TITLES Heads of Vendor/Network Management; Head of Operations; CIOs, COOs and CTOs and to a lesser extent, Procurement, where necessary

MYRIAD Group Technologies (cont)



COMPANY OVERVIEW OpenCorporates is building the global map of company data, collecting all the world’s official public information on companies, and using it to build a company dataset fit for the modern data-driven world – standardized, accurate, provenanced and open. We are already the largest open database of companies in the world with over 150 million companies in 128+ jurisdictions which powers KYC solutions, anti-corruption investigations and business intelligence. We are organically growing with an impressive set of blue-chip clients such as Mastercard, Capital One, PWC and the US/UK governments, as well as Fintech leaders such as Stripe, Transferwise, Exiger and Duedil. It has the potential and governance to become the world’s underlying supplier of foundational company data for the good of business and for society.

DATE FOUNDED 2010

OWNERSHIP STRUCTURE Trust structure - read more here

COMPANY HEADQUARTERS Level 39, One Canada Square Canary Wharf, London E14 5AB England

TOTAL FUNDING RAISED We have grown completely organically but we’re currently seeking funding.



REFERENCE CLIENTS Capital One, Mastercard, PWC, Deloitte, Stripe, Exiger, Duedil,

COMPETITORS Nobody else is doing what OpenCorporates is doing, making provenanced official company data available for the public good. That does not mean, however, that there are no competitors. Among the key competitors are: D&B, Kompany, Bloomberg, Experian, Equifax.

SALES CONTACT Jade Croucher, Account Manager

E [email protected]

CEO Chris Taggart

ABOUT THE CEO Chris Taggart was originally a magazine journalist and publisher, and is an experienced and successful entrepreneur, having started and grown several successful companies. He has been working exclusively in the field of open government and public sector information since 2009. Chris was named in the Top 10 Digital Social Innovators to watch out for by The Guardian. He also sits on the board of the Global Legal Entity Identifier Foundation.

FUTURE PLANS We’ve recently announced a fundraising round to enable OpenCorporates to grow more quickly, to take advantage of a changing landscape and opportunities, and have even more impact in the world. We are seeking £2-3 million of patient capital.

OpenCorporates



REGULATORY SOLUTIONS Major Regulations MiFID II: LEI feed connected to our global company database KYC/AML: Global company database accessed via API or bulk data

BUSINESS FUNCTION SOLUTIONS Client Onboarding: Global company database accessed via API Financial Crime: Global company database accessed via API or bulk data KYC/AML: Global company database accessed via API or bulk data Operational Risk Management: Corporate events data feed


TYPES OF FIRMS TARGETING 3 Investment Bank 3 Regulator


TARGET JOB TITLES Chief Data Officer, Product Director, Data Partnerships, CEO, CTO, Business Intelligence, Data Analysts,

OpenCorporates (cont)



TARGET JOB TITLES Hedge Funds, Chief Risk Officer, Chief Operating Officer, Head of Treasury/ Funding Portfolio Finance, Head of Middle Office, Asset Managers, Head of Treasury & Trading, Portfolio Manager, Head of Derivative Operations, Business Management, Pension Funds/ Insurers, Head of Treasury & Hedging, Portfolio Manager, Chief Investment Officer, T1 Sell-Side, Rates Trading, Funding and Capital Mgmt, XVA Trading, Credit Risk, Prime Risk, T2 Sell-Side, Rates Trading, Funding and Capital Mgmt, Chief Operating Officer, Head of Derivative Operations, Business Management




COMPANY OVERVIEW OpenGamma is the analytics company dedicated to improving returns for derivatives users through capital efficiency. Regulation continues to increase the cost and capital required to trade derivatives, meaning that users now need to understand a complex web of models in order to trade effectively. OpenGamma provides unparalleled derivatives model expertise, building a client base of the world’s leading financial institutions across clearing houses, banks and buy-side firms. Simple set-up means clients are up and running within hours, receiving actionable recommendations for immediate savings. With thousands of users depending on the derivatives analytics everyday, OpenGamma helps firms tackle the biggest issues in derivatives trading.

DATE FOUNDED 2009

OWNERSHIP STRUCTURE VC-funded

COMPANY HEADQUARTERS Albert House, 256-260 Old Street London EC1V 9DD UK



SALES CONTACT Joe Midmore, Head of Sales

T 44 0203 725 3335

E [email protected]

CEO Peter Rippon

ABOUT THE CEO Prior to OpenGamma, Peter spent 15 years at SunGard (now FIS) in business management, sales and product development. Previously, Peter worked in Fixed Income technology for Lehman Brothers. Peter earned a bachelor degree from Bristol University in Mechanical Engineering, and an MBA in International Business.

OpenGamma



3 Tier 3

TARGET JOB TITLES Chief Compliance Officer, Head of Onboarding, Chief Risk Officer, Chief Data Officer


TYPES OF FIRMS TARGETING 3 Investment Bank


COMPANY OVERVIEW Opus was founded on a simple premise: that faster, better decisions in compliance and risk management could give businesses an extraordinary advantage in the marketplace. Today, the world’s most respected, global corporations rely on Opus to free their business from the complexity and uncertainty of managing customer, supplier, and third-party risks. By combining the most innovative SaaS platforms with unparalleled data solutions, Opus turns information into action so businesses thrive. Opus is changing the landscape of risk management.

DATE FOUNDED 2013


COMPANY HEADQUARTERS 3040 Route 22 West Branchburg 7886 USA


SALES CONTACT Mark Deluca

T 1 908 981 0080

CEO Emanuele “Manny” Conti

ABOUT THE CEO Manny is the Chief Executive Officer and Director of Opus, which currently includes the Alacra and Hiperos product lines. He brings more than 25 years of leadership experience at companies across a diverse range of industries. He has extensive experience in the risk management and data analytics industry with a proven track record of building growth-oriented businesses around the world. He most recently was the CEO of Kroll Inc., a leading global provider of risk management solutions which included investigations, compliance, cyber security, eDiscovery and data management. Prior to Kroll, Manny was a senior executive with Dun & Bradstreet including roles as President of North America and International. Before Dun & Bradstreet, he led the Corporate Strategy team for Qwest Communications. He also held leadership positions at Viant, an e-commerce consulting firm, and Ernst & Young, where he was a founding member of the firm’s strategy practice. Earlier in his career, he held various positions with General Motors. Mr. Conti earned a Bachelor of Science degree in Finance at Bowling Green State University and an MBA at the University of Chicago.

Opus



3 Insurance/Plan Sponsor 3 Investment Management


TARGET JOB TITLES Head of Reporting/Client Experience, CEO, CEO

REGULATORY SOLUTIONS Other Regulations: Opus Nebula

BUSINESS FUNCTION SOLUTIONS Other: Opus Nebula


TYPES OF FIRMS TARGETING 3 Custodian/Funds Administrator

COMPANY OVERVIEW Our reporting vision is to significantly transform the customer experience by providing investment firms with the most complete, resilient and scalable solution tailored to meet individual needs. Opus Nebula is the most flexible on-demand reporting as a service capability which is competitively priced and delivered in a way that benefits firms of all sizes. We believe the highly automated work-flow enables our clients’ users to deliver accurate, timely and tailored reporting thereby significantly enhancing overall productivity than previously possible.

DATE FOUNDED 2014


COMPANY HEADQUARTERS 271 High Street Berkhamsted Hertfordshire HP4 1AA UK



REFERENCE CLIENTS London CIV, RPMI Rail Pen, CCLA, Willis Towers Watson IM, Willis Towers Watson IS

COMPETITORS Vermillion, SimCorp Coric

SALES CONTACT Les Gosling

T 44(0)7977 577 904

E [email protected]

CEO Andrew Sherlock

ABOUT THE CEO Andrew has over 30 years experience in client and fund reporting. Previously he was Head of Global Reporting at HSBC, Projects and BAU

FUTURE PLANS All client led

Opus Nebula




TYPES OF FIRMS TARGETING 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management 3 Regulator


TARGET JOB TITLES Regulatory Reports

COMPANY OVERVIEW OTCFin is a Fintech company which provides risk data management technology solutions for different financial assets in terms of Data Collection and Organization, Quality Checks, Risk Calculation and Stress Testing. Specifically, we produce reports in various formats according to our clients’ needs.

DATE FOUNDED 1990


COMPANY HEADQUARTERS 110 William Street, 3rd floor New York, NY 10038 United States


SALES CONTACT Filippo Viero

E [email protected]

CEO Joseph Ohayon

ABOUT THE CEO Joseph Ohayon is the founder and managing director of OTCFin, directing business development activities and acting as an engagement manager on several projects. Mr. Ohayon has extensive experience in sales and trading and portfolio management technology working over 20 years in domestic and international capital markets. He is actively engaged in the design and development of the OTCFin risk and portfolio management products for traditional and alternative asset managers. Mr. Ohayon has written articles, performed product and company evaluations, and has been a guest speaker at numerous technology conferences. He holds a Masters Degree in Computer Science from Ecole Superieure d’Electricite in France, and an MBA in Finance from the Sloan School of Management, MIT.

OTC FIN



Conduct Risk: Pendo Platform Data Lineage: Pendo Platform Data Governance: Pendo Platform Financial Crime: Pendo Platform KYC/AML: Pendo Platform Market Risk: Pendo Platform

REGULATORY SOLUTIONS Other Regulations: Pendo Platform - for most/all of the above

BUSINESS FUNCTION SOLUTIONS Client Onboarding: Pendo Platform

COMPANY OVERVIEW Pendo Systems has been providing software solutions to the financial services industry since 2007. Based in Montclair, New Jersey with offices in Charlotte, NC, the Pendo senior management team has decades of experience developing, selling and supporting enterprise software solutions to global banks, insurance companies, and asset management firms. The Pendo Machine Learning Platform is a production-ready tool that’s been turning unstructured data into AI-ready, structured datasets at machine scale for over 2 years. We are a RegTech solutions provider due to the extensive subject matter expertise across the entire Pendo team, and the real-world production experience we’ve gained over the past 2 years of using our platform in full production.

DATE FOUNDED 2007


COMPANY HEADQUARTERS 543 Valley Road Montclair, NJ 07043 United States


COMPETITORS Our customers tell us there is no platform doing all of what we do.

SALES CONTACT Phil Smith

E [email protected]

CEO Pamela Pecs Cytron

ABOUT THE CEO Pam Pecs Cytron has over 30 years of financial services technology experience including successfully growing companies from start-up to operational efficiency while consistently driving revenue increases. Pam launched Pendo Systems in 2007. Pendo provides technology for the global capital markets industry and currently serves 25 percent of the US G-SIFIs. In 2015, Pam pivoted Pendo Systems to create a machine learning platform that helps make financial institutions AI-ready by turning unstructured data in structured, AI-ready data sets at a machine scale. Both Pam and Pendo Systems have received numerous accolades including, Pam was named “Game Changer of the Year” and nominated to participate in Fortune’s Top 10 Women Entrepreneurs. Pendo Systems was named one of the 20 Most Promising Companies in Capital Markets Technology and is a two-time winner of SWIFT’s Innotribe and Top Innovator Award. Pam previously held senior management roles at SunGard, DST, BlackRock, Netik, and Princeton Financial.

FUTURE PLANS We are constantly adding new features to the platform.

Pendo Systems



Operational Risk Management: Pendo Platform Records Retention & Document Management: Pendo Platform Regulatory Reporting: Pendo Platform Risk/Capital Adequacy: Pendo Platform Risk/Risk Calculation: Pendo Platform


TYPES OF FIRMS TARGETING 3 Insurance/Plan Sponsor 3 Investment Banks 3 Retail and Commercial Banks


TARGET JOB TITLES Head of Compliance, Head of Risk, Head of AML/KYC. Typically we sell directly to the business user though do on occasion sell through CIO/CRO.

Pendo Systems (cont)



COMPANY OVERVIEW Percentile is focused on solving the complex challenges of Capital Markets Risk Management, which includes providing off-the-shelf solutions for regulations like the Fundamental Review of the Trading Book and regulatory Stress Testing. The founders, collectively, have over 50 years of experience as practitioners at Investment Banks and hedge funds, having tackled the challenges of Basel I, II and III over that time. Percentile is dedicated to making Risk Management more productive and aligned closer with the Front Office as true partners for effective risk-based decision making. Our clients include global Investment Banks and trading firms who see innovation in Risk Management as a competitive advantage. Our clients choose Percentile because not just because our technology transforms their legacy infrastructure, but also because of our deep subject matter expertise. Our unique blend of risk practitioner experience, understanding of capital regulations and risk technology expertise is evident in our output. Our software is quick to deploy, easy to integrate and focused on making the day-to-day lives of Risk Managers more productive, with automation and visualisation of regulatory risk data.

DATE FOUNDED 2014


COMPANY HEADQUARTERS 68 Lombard Street London EC3V 9LJ UK


COMPETITORS In-house development

SALES CONTACT Haider Mannan, Head of Business Development

T 44 203 7455595

E [email protected]

CEO Anthony Pereira

ABOUT THE CEO Anthony Pereira’s professional career spans across 20 years in both start-ups and global firms, focused around data and high performance computing. Before founding Percentile, he spent over a decade revolutionising capital markets risk technology at a global Investment Bank, bringing together big-data techniques and distributed computing to handle the demands of global Investment Banking. As Global Head of Risk Technology he pioneered the development of the firm-wide risk computation and analytics platform that transformed the abilities of the global risk management function. Following that he was Head of Front Office Technology with responsibility for all trading systems across credit, equity and fund derivatives.

FUTURE PLANS Real-time risk, pre-emptive risk compute based on machine learning

Percentile



REGULATORY SOLUTIONS Major Regulations FRTB: RiskMine FRTB

Additional Regulations Basel III: RiskMine Cube, RiskMine Scenarios & Wildfire, RiskMine Chronos BCBS 239: RiskMine Cube

BUSINESS FUNCTION SOLUTIONS Market Risk: RiskMine Cube, RiskMine Scenarios & Wildfire, RiskMine Chronos Risk/Capital Adequacy: RiskMine Cube Risk/Risk Calculation: RiskMine Cube, RiskMine Scenarios & Wildfire


TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Chief Risk Officer, Head of Market Risk, Head of Credit Risk, Head of Regulatory Capital, Head of Risk Analytics

Percentile (cont)



Publisher; Privitar SecureLink


REGULATORY SOLUTIONS Major Regulations GDPR: Privitar Publisher Business function solutions: Data Privacy & Digital Identity: Privitar

COMPANY OVERVIEW Privitar provides data-privacy software for organisations seeking to improve services and experiences through the use of advanced analytics and data science. We help organisations engineer privacy-preserving data operations that protect sensitive information while retaining data utility. Our software accelerates and automates privacy-safe data provisioning, helping our customers get more business value from their data, generate data-driven insights, and drive innovation. Privitar products create opportunities by allowing broader use of valuable information assets for collaboration and sharing, whilst reducing the risk associated with storing, processing and using sensitive data, due to data breaches, regulatory penalties and the misuse of data.

DATE FOUNDED 2014

OWNERSHIP STRUCTURE VC-Funded

COMPANY HEADQUARTERS 6th Floor, 30 Stamford Street London SE1 9LQ United Kingdom

TOTAL FUNDING RAISED £16 million



REFERENCE CLIENTS NHS

COMPETITORS Protegrity; Dataguise; Immuta

SALES CONTACT Kate Toumazi

T 44 07881 942739

E [email protected]

CEO Jason du Preez

ABOUT THE CEO Jason is a serial entrepreneur who brings proven start-up and enterprise software experience to the business. Prior to founding Privitar he held global leadership roles across technology and data management at Thomson Reuters. Before that he co-founded and led the growth of data management software company, m35, up to a successful exit through sale to Thomson. Jason has a Bachelor of Business Science degree from the University of Cape Town.

FUTURE PLANS International expansion across Europe; US and Asia Pacific.

Privitar



TYPES OF FIRMS TARGETING 3 Investment Bank 3 Retail

FIRM SIZES TARGETED Tier 1

TARGET JOB TITLES CIO, CDO

Privitar (cont)



COMPANY OVERVIEW Quantum is a first-of-its-kind platform for testing algo-based trading strategies and execution systems. Developed by long-time industry veterans, Quantum offers a complete out-of-the-box testing service that gives clients virtual copies of actual exchanges, with all of the behaviors, protocols, order types, and market data of their real global counterparts, under a single consistent platform deployed in any cloud across an entire firm. Most trading is via complex algorithms that must be tested rigorously. Most investment firms have developed internal testing services, but these are expensive to develop/maintain, offer suboptimal insights into complex and AI-driven strategies, and do little to shorten the go-to-market and model validation processes. Most importantly, existing services will not meet new regulatory scrutiny, and thus do not protect clients from risk or regulatory fines, putting millions of capital at risk. Where existing tools offer basic regression and statistics, Quantum closely emulates each global exchange’s behaviors because it is a set of actual exchanges, available virtually 24/7 whenever testing is needed, and with an unlimited number of instances and scenarios. Market impact, latencies, scenarios, faults, and compliance can all be customized without coding. Results can be immediately reviewed, then stored and sealed for later recall. With Quantum, execution systems can be tested end-to-end. Traders can save time and money with market data, scenarios, and analytics at their fingertips. Executives can show a higher level of compliance. All at a low cost without building expensive in-house solutions, focusing precious resources on building the best algos and generating alpha. Quantum is powerful, comprehensive, cost efficient, easy to install & use, and a leap ahead for our clients.

DATE FOUNDED 2016

OWNERSHIP STRUCTURE Private, Angel funding

COMPANY HEADQUARTERS 4 Ravey Street, Suite 7 Shoreditch London EC2A 4QP United Kingdom


REFERENCE CLIENTS Largest client is a tier 1 global trading bank

COMPETITORS Typically compete with existing internal simulators. Quantum is the first commercial platform to offer actual exchanges to test against, and our clients and prospects all state that no other competitor is offering a similar product.

SALES CONTACT Iain Greer

E [email protected]

CEO Iain Greer

ABOUT THE CEO Former CIO at Credit Suisse, BGI, and Fidelity; former COO/CEO at Mizuho International.

FUTURE PLANS Currently growing from US operations and building operations to support European and Asian clients

Quantum Tech



REGULATORY SOLUTIONS Major Regulations MiFID II: Quantum

Additional Regulations Regulation ATS: Quantum Business function solutions: Best Execution: Quantum Market Risk: Quantum Operational Risk Management: Quantum Pre-Trade Risk: Quantum Regulatory Reporting: Quantum Trade/Transaction Reporting: Quantum Trading Venues: Quantum


TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Investment Bank


TARGET JOB TITLES Heads of Execution Technology, Heads of Trading, Algo Development

Quantum Tech (cont)



COMPANY OVERVIEW Regulatory DataCorp (RDC), the Smarter ScreeningTM company, prevents criminal infiltration of the world’s financial systems by delivering automated, intelligent customer screening and decision-ready intelligence. RDC supports more than 35,000 compliance professionals across more than 100 countries in strengthening their KYC/AML, fraud and Politically Exposed Persons (PEPs) protection, ensuring sanctions and watchlist compliance, protecting their brand and reputation and managing supply chain and vendor risks. RDC uniquely combines the world’s largest risk-relevant database together with an advanced machine learning-driven, SaaS-based screening platform, capable of support the largest and most complex global organizations. RDC provides a SaaS-based platform that provides integrated customer screening for politically exposed persons, sanctions, watchlist and adverse media. The screening engine leverages machine learning (ML) and natural language processing (NLP) to provide the most accurate filtering and name-matching, improving operational efficiency and reducing false positives by up to 90%. Fueling this screening engine is RDC’s GRID database, the largest curated, risk-relevant database in the market. GRID contains more than 9M curated risk profiles created from more than 200,000 sources across 200+ countries in 77 languages and is updated daily. RDC also provides automated, daily portfolio monitoring that eliminates the need for periodic portfolio re-screening.

DATE FOUNDED 2002

OWNERSHIP STRUCTURE Private equity-owned (Vista Equity Partners)

COMPANY HEADQUARTERS 211 South Gulph Road King of Prussia, PA 19406 United States


NUMBER OF LIVE CLIENTS ~1,000

COMPETITORS Thomson Reuters, RELX (Lexis Nexis & Accuity), Dow Jones

SALES CONTACT Michael Kerman

E [email protected]

CEO Tom Walsh

ABOUT THE CEO With more than 25 years of experience with enterprise software, Tom Walsh helps to ensure that RDC clients have the right tools to remain competitive and address rapidly evolving technology and business needs while delivering business friendly experiences to their customers. Mr. Walsh has served in a variety of B2B global and domestic customer markets including multi-national entities, large partnerships, small businesses, and government customer segments. His areas of expertise include guiding market expansion, customer engagement initiatives, and strategic product planning and development. Prior to RDC Mr. Walsh was CEO of Kaufman Hall Software.

FUTURE PLANS Over the last 18 months, RDC has released no less than two dozen innovations to drive industry change and help improve the risk management capabilities of our clients. Collectively,

RDC



3 Retail


TARGET JOB TITLES Compliance, Compliance Operations, Financial Crimes, BSA/AML, Risk, Chief Financial Officer

REGULATORY SOLUTIONS KYC/AML: RDC Review Business function solutions: Client Onboarding: RDC Review Data Governance: RDC GRID Financial Crime: RDC Review KYC/AML: RDC Review


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Investment Bank 3 Investment Management 3 Regulator

these innovations fall into three categories: 1. Screening Database Enhancements: New sources; Full incorporation of information from the Panama Papers into our existing profile and a risk based prioritized offering; Introduction of FIT scoring on portfolios; Advanced Natural Language Processing and Machine Learning to Accelerate Content Ingestion. 2. Processing Engine: Millisecond “Real Time” Processing; Filter improvements allowing for more fine-grained filtering, reducing the amount of false positives. 3. Artificial Intelligence: Real time, probabilistic outcome based scoring; Peer-to-peer benchmarking; Filtering and Prioritization Probabilistic Outcomes; Risk Tolerance Matching. For our FinTech customers, RDC built ultra-fast API processing capability to drive real time onboarding of clients. The offering works hand in hand with our real time, probabilistic scoring system and affords our FinTech clients the ability to onboard hundreds of millions of clients each day in a fully automated fashion. The enhancement also allows RDC to move into the safe-brand market, easily doubling its TAM. Artificial Intelligence Building off a couple of years of R+D involving our global processing outcome data set, we introduced several key data driven artificially intelligent enhancements: Real time, probabilistic outcome based scoring. For far too long, customer risk scoring was largely qualitatively driven. Judgmental assessments ruled the day. Using the outcomes from over 350 billion screens, RDC introduced probabilistic outcomes based on seven different factors. While initially set against our historical dataset, we built machine learning capabilities to allow the system to learn from itself, both collectively for all our clients, and individually at a particular client’s risk segment level. Peer-to-peer benchmarking. RDC now has the capability to benchmark clients against their peers along several fronts: (1) risk outcomes based on their risk classifications and tolerances; (2) risk model for filtering changes; (3) real time probabilistic prioritization enhancements. Filtering and Prioritization Probabilistic Outcomes: Filtering and Prioritization are now probabilistic outcome driven. Each change to a filter or prioritization schema can now be back tested to ascertain likely outcomes. In addition, incorporated machine learning capability works real time to recommend enhancements, watches for new trends, and constantly assesses best-in-breed standings.

RDC (cont)



Reconcile.Trade/Load.Trade SFTR: Validate.Trade/Load.Trade EMIR: Validate.Trade/Reportable.Trade/Reconcile.Trade/Load.Trade

REGULATORY SOLUTIONS Major Regulations MiFID II: Validate.Trade/Reportable.Trade/Reconcile.Trade/Load.Trade Dodd-Frank: Validate.Trade/Reportable.Trade/

COMPANY OVERVIEW RegTek.Solutions was founded in 2017 with one goal in mind: to help firms impacted by trade and transaction reporting obligations achieve sustainable compliance. In an era of regulatory overload resulting in ever increasing compliance costs, we allow firms to do more with less, without ever compromising on the discipline required to meet regulatory requirements. We help firms achieve this goal by mutualising the cost and burden of building and maintaining intelligent reporting systems.

DATE FOUNDED 2017

OWNERSHIP STRUCTURE Institutional (Illuminate Financial & Deutsche Boerse): 25% Legacy parties: 38% Employees: 37%

COMPANY HEADQUARTERS 225 West 35th Street New York, NY 10001 United States




REFERENCE CLIENTS UBS, ING, Societe Generale, Deutsche Boerse

COMPETITORS Sapient, Message Automation, in-house teams.

SALES CONTACT Richard Edgar

E [email protected]

CEO Brian Lynch

ABOUT THE CEO Brian is responsible for defining and executing the company’s strategy. Prior to joining Risk Focus in 2011, and launching RegTek.Solutions in 2017, he spent 14 years at UBS, most recently as Chief Operating Officer for Delta One trading, a role in which he successfully brought several new business lines and products to market. He also has many years’ experience at the bank in fixed income, credit default swaps and prime brokerage. Brian received his Bachelor of Science in Construction Management from the University of Witwatersrand.

FUTURE PLANS Above everything, we will continue to expand and improve our regulatory scope. Our regulatory SLA is at the centre of everything we do and with constantly evolving regulations and best practices, it is more important than ever for us to make it a priority.

RegTek.Solutions



BUSINESS FUNCTION SOLUTIONS Trade/Transaction Reporting: Validate.Trade/Reportable.Trade/Reconcile.Trade/Load.Trade




TARGET JOB TITLES Head of Operations, Regulatory Operations, Compliance oversight, Head of Compliance, Head of Trade & Transaction Reporting Technology, Head of Regulatory Reporting, CF10, Head of Middle Office, IT Architect

RegTek.Solutions (cont)




TYPES OF FIRMS TARGETING 3 Investment Bank


TARGET JOB TITLES Regulatory Operations, Risk, Compliance Office

COMPANY OVERVIEW REGnosys’ mission is to move the financial industry to “Machine Executable Regulation”. Our current value proposition is to help banks control and evidence their continuous quality of compliance. We transform the current experience of Regulatory Operation teams, providing them with end-to-end traceability and transparency of their regulatory reporting process: from source data to reported output, through “machine-executable” logic tied to the rule-book. Evidencing compliance, right at their fingertips. Our core technology, called “Rosetta”, applies to rule-based regulations and specifically focuses on banks’ capital markets activities - e.g. MiFID II Transaction Reporting. REGnosys signed a major strategic partnership in Feb ‘18 with ISDA, one of the most important financial markets’ trade bodies, to develop the “ISDA CDM” (Common Domain Model: a digital blueprint for how derivatives are transacted throughout their lifecycle) using Rosetta. It is made openly available to all market participant and constitutes the cornerstone of REGnosys’ regulatory compliance solution. REGnosys was founded by two former Goldman Sachs Engineering MDs: Leo Labeis and Pierre Lamy.

DATE FOUNDED 2017


COMPANY HEADQUARTERS Runway East, 10 Finsbury Square London EC2A 1AF United Kingdom

TOTAL FUNDING RAISED £700,000


SALES CONTACT Mara Moreno

CEO Leo Labeis

REGnosys




TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Any Basel 3 regulated firm.


REGULATORY SOLUTIONS Major Regulations MiFID II: Prometheus FRTB: Prometheus

Additional Regulations Basel III: Prometheus BCBS 239: Prometheus Corep: Prometheus Finrep: Prometheus Solvency II: Prometheus

BUSINESS FUNCTION SOLUTIONS Conduct Risk: Prometheus Market Risk: Prometheus Operational Risk Management: Prometheus Regulatory Reporting: Prometheus Risk/Capital Adequacy: Prometheus Risk/Risk Calculation: Prometheus

COMPANY OVERVIEW Regtify is a SaaS focused technology firm that provides regulatory solutions to Investment Firms and Credit Institutions. Our current solutions include a complete Basel 3 (CRR/CRD 4) Regulatory automation package as well as actual corporate/enterprise risk management.

DATE FOUNDED 2016

OWNERSHIP STRUCTURE Private Company

COMPANY HEADQUARTERS Apostolou Antrea 3A,Strovolos Strovolos, Nicosia 2049 Cyprus



COMPETITORS BearingPoint, AxiomSL

SALES CONTACT Constantinos Avgoustou

E [email protected]

CEO Constantinos Avgoustou

ABOUT THE CEO Capital and Risk Professional

FUTURE PLANS Expand Prometheus to more regulatory reporting regimes.

Regtify



COMPANY OVERVIEW RSRCHXchange is the award-winning MiFID II research marketplace and aggregator for institutional research. A one-stop-shop for institutional research, RSRCHX helps more than 1,200 of the world’s leading Investment Management firms managing >$40 trillion in assets collectively and over 370 global banks, regional brokers and independent research providers connect and access the newly evolving paid-for research market. As an aggregator, RSRCHX is a virtual library that enables asset managers to read reports, automatically track consumption and evaluate the content they receive. We’re leading the way with a differentiating marketplace where research reports and subscriptions are easily bought and sold. Research providers can now take greater control over distribution and monetise the value of their research, while evidencing full compliance with MiFID II unbundling requirements.

DATE FOUNDED 2014


COMPANY HEADQUARTERS 3-11 Eyre Street Hill, Lower Ground Floor London EC1R 5ET United Kingdom


NUMBER OF LIVE CLIENTS >1200

REFERENCE CLIENTS Five largest clients manage >$7 trillion in AUM. Available upon request.

COMPETITORS Bloomberg, Thomson Reuters

SALES CONTACT Client Sales Team

E [email protected]

CEO Vicky Sanders, Jeremy Davies

ABOUT THE CEO Vicky Sanders is co-CEO and one of the two founders of RSRCHXchange, the marketplace and aggregator for institutional research. The award-winning RSRCHX platform is used by more than 1,200 buy side firms and over 375 banks, brokers and independent research providers better consume and distribute research. RSRCHX is not only a regulatory solution but also a technology-led research management tool and venue for discovering, buying and selling research. Prior to setting up RSRCHXchange in 2014, Vicky was an Executive Director at Goldman Sachs in the Equity Sales division. She began her career at Merrill Lynch in London, where she worked in Global and European equity sales. Originally from Boston, Vicky graduated cum laude from Harvard University in 2005, with a degree in economics. Prior to setting up RSRCHXchange, Jeremy was a Portfolio Manager at asset managers CQS for six and a half years, where he looked after a Global Event Driven and Special Situations portfolio. Jeremy was previously at TT International where he worked on the Event Driven Fund which received the Eurohedge award in its category in 2006. He worked at Nomura as a Private Equity Executive from 2000 to 2003 and began his career in financial services as a Graduate Analyst at Societe Generale. Jeremy Graduated from Trinity Hall, Cambridge in 1998 with a Master’s Degree in Natural Sciences (Biochemistry).

RSRCHXchange



REGULATORY SOLUTIONS Major Regulations MiFID II: Research Unbundling

BUSINESS FUNCTION SOLUTIONS Research Aggregation: RSRCHX




TARGET JOB TITLES Investment Manager, Portfolio Manager, Analyst, Head of Research, CFO, Head of Sales, Head of Operations, Director of Research, Chief Compliance Officer, Chief Operations Officer, Economist, Head of Institutional Sales, Director, Managing Director, Asset Manager

FUTURE PLANS By applying leading technology to the niche asset management industry, our aim is to improve workflows around investment research, whilst offsetting the burden placed on fund managers by new regulation. RSRCHX is a one-stop-shop for accessing the newly evolving paid-for research market and consuming research in compliance with global best practice. We are continuously expanding our offering of products, having launched a mobile and desktop app last year, and most recently provided the ability to buy, schedule and host analyst calls and webinars on RSRCHX.

RSRCHXchange (cont)



COMPANY OVERVIEW Scaled Risk: The Enterprise Regtech Data Platform. We are a RegTech software company providing the Financial Services Industry with a one stop shop, agile, real-time, consistent and auditable big data platform. Our platform is used by the Financial Software Industry to efficiently solve their risk and regulatory issues. Currently used by Financial Authorities, CIB, Asset Managers, Custodians, Retail Banks and even Corporates for: MiFID II, FRTB, Basel III and GDPR (control) - KIID/PRIIPs (reporting) - French anti-bribery law – Sapin 2 (compliance application) - Trade Repository & Analytics (application) - Credit & Liquidity Risk (SaaS application). To do so, we use cutting edge technology that allows consistency, flexibility, data traceability and high volumes. Our software takes the best of legacy systems and big data platforms to enable rapid and flexible application development to cope with ever-changing regulations data schema, models and rules changes.

DATE FOUNDED 2012

OWNERSHIP STRUCTURE Private & VC Funded

COMPANY HEADQUARTERS 8 rue du Sentier Paris 75015 France

TOTAL FUNDING RAISED EUR3.5 million



REFERENCE CLIENTS

COMPETITORS IT Competitors: Internal IT services Marklogic. Business Competitors: Neoxam

SALES CONTACT Hugo Ratero

T 00 331 44 79 33 64

E [email protected]

CEO Thierry Duchamp

ABOUT THE CEO Former director at Thomson Reuters Risk Management, Thierry has a wide-angle vision on the business of software development for Financial Markets. As early as 2012, Thierry founded Scaled Risk, which is certainly one of the first RegTech world-wide. In 2015, the Fintech book gave Thierry the opportunity to publicly express his vision of the RegTech industry. Before Scaled Risk, he was Head of the treasury IT system of Sanofi, complementing these skills by the management of the production and evolution of a treasury transactional system

FUTURE PLANS We are building a global reporting tool based on our Data Governance platform. In a few words, with a one stop shop tool, Banks will be able to: onboard their regulatory data, create their report and export it into our template (e.g. KIID, Internal Reporting)

Scaled Risk



REGULATORY SOLUTIONS Major Regulations MiFID II: Regtech Data Platform GDPR: Regtech Data Platform MAR: Regtech Data Platform KYC/AML: Regtech Data Platform

Additional Regulations AIFMD: Regtech Data Platform Basel III: Regtech Data Platform BCBS 239: Regtech Data Platform Solvency II: Regtech Data Platform

BUSINESS FUNCTION SOLUTIONS Client Onboarding: Regtech Data Platform Data Lineage: Regtech Data Platform Data Governance: Regtech Data Platform KYC/AML: Regtech Data Platform Regulatory Reporting: Regtech Data Platform


TYPES OF FIRMS TARGETING 3 Custodian/Funds Administrator 3 Insurance/Plan Sponsor 3 Investment Management 3 Regulator 3 Retail


TARGET JOB TITLES C - Level Head of: Compliance/Data Management/Reporting

Scaled Risk (cont)



MAR: Scila Surveillance KYC/AML: Scila Surveillance

REGULATORY SOLUTIONS Major Regulations MiFID II: Scila Surveillance Dodd-Frank: Scila Surveillance

COMPANY OVERVIEW Scila Surveillance is a turnkey market surveillance solution for exchanges, trading participants and regulators that seeks to apply modern technology to obtain a seamless route from early detection of market abuse to presentable evidence. The solution covers all asset classes and market models and has been deployed for over 30 clients in 13 countries since 2008. To meet the demands from the modern trading environment and changing regulatory landscape, Scila Surveillance not only monitors for traditional market abuse scenarios such as Spoofing, Layering and Insider Trading, but also for high frequency trading, pattern recognition (based on a wide range of trading statistics) and best execution compliance. Scila Surveillance delivers shorter time-to-market, lower total cost-of-ownership and improved user experience. The result is a flexible and highly efficient solution with standardized connectivity protocols, capable of handling billions of transactions every day. The system can be deployed both on-premise or as a hosted option, including full application management. Scila delivers a technology that has proven to be extremely successful for some of the most demanding financial markets clients in the world.

DATE FOUNDED 2008


COMPANY HEADQUARTERS Sveavägen 17 Stockholm 11157 Sweden



REFERENCE CLIENTS Deutsche Boerse, London Stock Exchange, Cboe

COMPETITORS Nasdaq SMARTS

SALES CONTACT Erik Holm

E [email protected]

CEO Lars-Ivar Sellberg - Executive Chairman of the Board

ABOUT THE CEO Sellberg holds a Master’s degree in Electrical Engineering/IT from the Royal Institute of Technology and a Bachelor’s degree in Financial Economics from Stockholm University. Experience include working with major financial institutions like exchanges, MTFs and banks, implementing mission critical IT solutions in these areas. Sellberg’s professional career started 1994 as a software developer. Since then he has worked for companies such as Enea, Nasdaq OMX and Cinnober.

FUTURE PLANS To continue to deliver state-of-the-art market surveillance - Scila Surveillance.

Scila



TARGET JOB TITLES Compliance, Market Surveillance, Risk

Additional Regulations CFTC Regulation Automated Trading (Regulation AT): Scila Surveillance Dodd-Frank Volcker Rule: Scila Surveillance

BUSINESS FUNCTION SOLUTIONS Best Execution: Scila Surveillance Conduct Risk: Scila Surveillance Distributed Ledger/Blockchain: Scila Surveillance Financial Crime: Scila Surveillance Infrastructure Monitoring: Scila Surveillance KYC/AML: Scila Surveillance Market Risk: Scila Surveillance Operational Risk Management: Pre-Trade Risk: Scila Surveillance Risk/Risk Calculation: Scila Surveillance Trade Surveillance & Cyber Security: Scila Surveillance Trade/Transaction Reporting: Scila Surveillance Trading Venues: Scila Surveillance Other: Scila Surveillance




Scila (cont)



Additional Regulations Basel III: Shield 2.0

BUSINESS FUNCTION SOLUTIONS Best Execution: Shield 2.0 Data Governance: Shield 2.0 Data Privacy & Digital Identity: Shield 2.0 Operational Risk Management: Shield 2.0

REGULATORY SOLUTIONS Major Regulations MiFID II: Shield 2.0 GDPR: Shield 2.0 Dodd-Frank: Shield 2.0 MAR: Shield 2.0 EMIR: Shield 2.0

COMPANY OVERVIEW Shield is an innovative end-to-end trade and eComm platform covering the relevant scope for MiFID II, GDPR, Dodd Frank and the new wave of regulations. In addition to archiving and protecting the original files from all communication channels (voice, chat, email, text messages, OMS, documents etc.) as per compliance, Shield also uses big data capabilities and advance analytics to automatically correlate and cross reference the data across all platforms. With a quick and easy Google like search, Shield is designed as a user friendly solution for financial compliance teams to manage, search and perform investigations. We already assist European customers including Tier 1 banks to structure their communication data and be prepared to the growing amount of inquiries from the regulators and from customers.

DATE FOUNDED 2016


COMPANY HEADQUARTERS Tobaksvejen 21 Søborg 2860 Denmark

TOTAL FUNDING RAISED Revenue-based


COMPETITORS Smarsh, Actiance, SteelEye, Bloomberg Vault

SALES CONTACT Eran Noam, VP Sales and Business Development

T 972 54 5442438

E [email protected]

CEO Shiran Weizman

ABOUT THE CEO Shiran has over 15 years of technology and management expertise, mainly in the Financial Services vertical. Prior to Shield Shiran was a Head of Sales at TM-Group, managing the company’s major tier 1 bank accounts. Shiran brings to Shield many years as a trusted advisor and a subject matter expert in the financial compliance market.

FUTURE PLANS Machine Learning and AI Cognitive assistance. Additional market segments (AML, KYC, Insurance). Cloud based SMB offering.

Shield Financial Compliance



Records Retention & Document Management: Shield 2.0 Trade Surveillance & Cyber Security: Shield 2.0 Trade/Transaction Reporting: Shield 2.0 Trading Venues: Shield 2.0


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Investment Management 3 Regulator 3 Retail


TARGET JOB TITLES Head of Compliance, Head of Communication and Surveillance, Head of Trading Floors, Head of IT, Head of Risk and Oversight, Head of Audit.

Shield Financial Compliance (cont)



COMPANY OVERVIEW The partnership between SmartStream and RegTek.Solutions has created a joint offering that provides independent, turnkey reconciliations that directly address regulators’ demands for the proactive oversight of trade and transaction reporting. The service combines RegTek.Solutions’ specialised trade and transaction reporting software and market expertise with SmartStream’s leading reconciliations platform, to offer comprehensive, ‘regulation-aware’ reconciliations that are pre-integrated with leading trade repositories (TRs), approved reporting mechanisms (ARMs) and national competent authorities (NCAs). Regulators now require reporting firms to have ‘arrangements’ and ‘mechanisms’ for the reconciliation of internal data with the data reported to regulators via TRs or ARMs. The service is called Reconcile.Trade, delivers on this requirement with ‘completeness assurance’, the identification of over- or under-reporting, including duplicates, as well as ‘accuracy assurance’, the matching of all individual reporting data attributes required by the various global regulations. Reconcile.Trade not only identifies possible compliance breaches and control breaks, it delivers the powerful workflow tools of TLM® Reconciliations Premium, the latest version of SmartStreams market leading platform, required to drive root cause analysis and to orchestrate the efficient resolution of issues, while providing the required security, audit trail and data retention solutions. This offering is designed to coincide with the MiFID II/MiFIR regulations, an integral part of the regulations are the European Securities and Markets Authority (ESMA) demands for robust control and oversight, including visibility into all reconciliations at a detailed attribute level. The service can be delivered as securely hosted, software as a service (SaaS), or installed in a clients private infrastructure (Local).

DATE FOUNDED 2000


COMPANY HEADQUARTERS St Helen’s, 1 Undershaft London EC3A 8EE United Kingdom


NUMBER OF LIVE CLIENTS 1,500

REFERENCE CLIENTS Available on request

COMPETITORS FIS, Broadridge, Gresham, Fiserv

SALES CONTACT Kurt Eldridge

T 1 212 763 6502

E [email protected]

CEO Haytham Kaddoura

ABOUT THE CEO Haytham Kaddoura has been the CEO of SmartStream Technologies Group since May 2016 after serving as a member of its Board of Directors since 2007. Mr. Kaddoura brings over 20 years of experience in investment advisory, asset management, corporate restructuring,

SmartStream



BUSINESS FUNCTION SOLUTIONS Best Execution: TLM, The SmartStream Reference Data Utility Client Onboarding: TLM, The SmartStream Reference Data Utility Data Governance: TLM, The SmartStream Reference Data Utility Distributed Ledger/Blockchain: TLM KYC/AML: TLM Operational Risk Management: TLM, The SmartStream Reference Data Utility Regulatory Reporting: TLM, The SmartStream Reference Data Utility


REGULATORY SOLUTIONS Major Regulations MiFID II: The SmartStream Reference Data Utility, TLM Dodd-Frank: TLM EMIR: TLM, The SmartStream Reference Data Utility KYC/AML: TLM

Additional Regulations AIFMD: The SmartStream Reference Data Utility Basel III: TLM, The SmartStream Reference Data Utility BCBS 239: TLM, The SmartStream Reference Data Utility SEC Form PF: TLM Solvency II: The SmartStream Reference Data Utility

strategy formulation and execution for boards of some of the most prominent corporations across the GCC and the greater Middle East and North Africa region. He started his career working with leading management consulting firms, including; Accenture, Booz Allen and Hamilton, PricewaterhouseCoopers and BearingPoint; advising corporations such as; American Express, the Abu Dhabi Offsets Group, Abu Dhabi National Oil Company, Dubai Aluminum, and Qatar Foundation. In early 2004, he joined a Dubai Government initiative to establish the Dubai International Financial Centre (DIFC) and subsequently helped found DIFC Investment, where he managed part of the quasi-sovereign wealth fund’s portfolio. Mr. Kaddoura holds a Masters Degree in Finance and International Business and a Bachelors Degree in Computer Sciences.

FUTURE PLANS SmartStream is working with financial institutions to optimise workflows, using Artificial Intelligence (AI), Machine Learning (ML) and blockchain technologies, in the areas of reconciliations, cash management and fees and expense management. A new innovations team has been recruited to help design new AI and ML techniques to drive down costs and improve work flow efficiencies, taking advantage of advanced data analytics to re-engineer traditional work models across back office processing. Highly skilled members of the team include mathematicians, applied data scientists, computer scientists and Ph.Ds, who will focus on the deployment of AI/ML and blockchain models with financial institutions. This includes evaluating optimal AI/ML modelling, data interpolation, running tests, implementations and analysing how AI processes best work within the current product environment by monitoring achievements and optimisation of processes, to enable better business outcomes. In the areas of reconciliations and cash management, AI/ML will help to monitor, watch and learn. For example, AI models are being used to understand data flows across the back office, ML algorithms are being evaluated to understand cash flows and predict future scenarios. In the areas of fees and invoice management, AI will understand formats and, extract and understand information used for processing.

SmartStream (cont)



3 Middle East & Africa 3 Asia/Pacific

TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Retail


TARGET JOB TITLES C- Level - CDO, CFO, COO, CIO, Head of Operations Compliance/Governance Officer

SmartStream (cont)



Pre-Trade Risk: Softek Regulatory Reporting: Softek Risk/Capital Adequacy: Softek Risk/Risk Calculation: Softek


REGULATORY SOLUTIONS Additional Regulations Basel III: Softek Other Regulations: IIROC Rule 100, SEC 15c3-1, 15c3-3, RegT, RegU, 4210, RBH, OCC PM

BUSINESS FUNCTION SOLUTIONS:

Best Execution: Market Risk: Softek

COMPANY OVERVIEW Softek is a leading provider of Capital and Credit Management services with a focus on regulatory capital, margin lending, security finance and risk reporting. Our full service utility delivers an innovative suite of integrated post trade solutions. Softek acts as a warehouse of knowledge of regulatory capital rulebooks and in-house credit policies for capital adequacy optimization calculation and credit monitoring. Supported regulatory rulebooks include: IIROC Rule 100, Regulatory Capital calculations based on SEC 15c3-1, Client segregation calculations based on SEC 15c3-3, Client margin calculations as defined in FINRA Rule 4210 and Federal Reserve RegT, support for RBH based on the TIMS margin methodology. In addition to providing risk and capital calculations in near real time, Softek also supports the data management processes such as maintaining the security master and fungibility links.

DATE FOUNDED 2005


COMPANY HEADQUARTERS 5025 Orbitor Drive, Suite 300, Building 1 Mississauga Toronto L4W 4Y5 Canada



REFERENCE CLIENTS Available on request

COMPETITORS In-house builds Syncova (Now part of Advent) LDB

SALES CONTACT John Peck, Business Development Director

T 1 905 602 2990 or +44 207 332 6341

E [email protected]

CEO Robert Bond

FUTURE PLANS Onward development of intraday regulatory capital monitoring. Pre-trade checks.

Softek



TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Wealth Management


TARGET JOB TITLES CEO, COO, CRO, CFO, Head of Prime Brokerage, Head of Regulatory Reporting, Head of IT Prime Services, Head of Margin

Softek (cont)



COMPANY OVERVIEW Solidatus focuses primarily on the increasingly regular and critical theme of data lineage. An organisation can only begin to consolidate its data when it understands that data’s provenance. Detailed and complex data lineage can be represented in a visual form in Solidatus. This provides a richness and depth of information that other reporting processes cannot. Regardless of whether it is being used for AML, CCAR, BCBS239, FRTB, GDPR or MiFID II, Solidatus supports organisational efforts to maximise the impact efficiency of implementing regulation, improving operational transparency, reducing risk as well as costs. Solidatus enables regulated businesses to move from being reactive to proactive in their efforts to be compliant. The tool was developed to help understand how data flows through the data landscape by providing the most intuitive, flexible, data lineage, visualisation solution. Solidatus is uniquely engineered to build end-to-end data models more efficiently and effectively. The data economy of organisations is growing year-on-year, increasing the demand on businesses to understand and control change in order to minimise risk and manage costs. The unique collaborative mechanism built into the core of Solidatus helps organisations improve their data economy. Easily accessible, highly scalable and secure, it allows businesses to quickly develop a data landscape, crowdsource metadata and analyse how that data is used.

DATE FOUNDED 2013


COMPANY HEADQUARTERS 1st Floor 39 Crutched Friars London EC3N 2AE United Kingdom



COMPETITORS Collibra, Informatica (for lineage), Ab Initio

SALES CONTACT Howard Travers

E [email protected]

CEO Philip Dutton

ABOUT THE CEO Philip is a Senior System Architect & Project Manager with over 17 years’ experience in the Financial Services focusing on global transformational change projects. Philip is passionate about transforming complex systems landscapes.

FUTURE PLANS We have some exciting things in the pipeline for Solidatus: AI/ML Use of AI/ML to map more lineage and metadata automatically. Also the mapping of AI/ML processes to make them more auditable. Integration to Cloud and Big Data Providers Native integration and partnership with cloud and big data providers to gather metadata more natively, allowing for access to their marketplaces. (GCP, Azure, AWS, Pivotal etc.) Metadata Life-cycle Management Creation of new methodology to manage metadata as part of the whole software and data life-cycles. This is a client partnership, but will create a new paradigm for the data-age that we live in. Privacy and Transparency We are privacy

Solidatus



TYPES OF FIRMS TARGETING 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management 3 Regulator 3 Retail 3 Utilities and Pharma (any regulated organisation)


TARGET JOB TITLES Head of Risk/Regulations/Compliance/Architecture/Data Office Data Analyst

REGULATORY SOLUTIONS Major Regulations MiFID II: Solidatus GDPR: Solidatus FRTB: Solidatus Dodd-Frank: Solidatus SFTR: Solidatus EMIR: Solidatus KYC/AML: Solidatus

Additional Regulations AIFMD: Solidatus Basel III: Solidatus BCBS 239: Solidatus Corep: Solidatus Dodd-Frank Volcker Rule: Solidatus Finrep: Solidatus Solvency II: Solidatus Other Regulations: PRA 110, Senior Managers and Certifications Regime, CAT,

BUSINESS FUNCTION SOLUTIONS Data Lineage: Solidatus Data Governance: Solidatus Data Privacy & Digital Identity: Solidatus Distributed Ledger/Blockchain: Solidatus Financial Crime: Solidatus KYC/AML: Solidatus Operational Risk Management: Solidatus Records Retention & Document Management: Solidatus Regulatory Reporting: Solidatus Research Aggregation: Solidatus Trade/Transaction Reporting: Solidatus


and transparency advocates and work with partners in this space to ensure the same. Anti-Money Laundering Working with regulators, clients and partners in the AML space. Providing an AI driven technology solution to AML between organisations.

Solidatus (cont)



KYC/AML: Steeleye platform

Additional Regulations AIFMD: Steeleye platform CFTC Regulation Automated Trading (Regulation AT): Steeleye platform

REGULATORY SOLUTIONS Major Regulations MiFID II: Steeleye platform Dodd-Frank: Steeleye platform MAR: Steeleye platform EMIR: Steeleye platform

COMPANY OVERVIEW SteelEye specialises in aggregating, transforming, enriching and analysing data (both structured and unstructured) for regulatory compliance and business oversight. We are the only technology provider that provides record keeping of communications and transaction data, best execution reporting, transaction reporting, trade reconstruction and surveillance in one comprehensive solution. Perhaps even more importantly, compliance requirements are no longer just a sunk cost. The SteelEye platform allows customers to analyse and interrogate the data to help them drive operational efficiencies across the organisation.

DATE FOUNDED 2017


COMPANY HEADQUARTERS 1-2 Hatfields, 3rd Floor London SE1 9PG United Kingdom


COMPETITORS The competitive landscape is very fragmented. We have competitors in the communications archiving, trades/orders record-keeping and monitoring, best execution and transaction reporting. To that point, none of those competitors has the breadth of offering to include all of the above. Steeleye does.

SALES CONTACT Daniel Klein

E [email protected]

CEO Matt Smith

ABOUT THE CEO Matt has over 19 years of technology and management expertise throughout North America, Europe and Asia. Matt has worked at Bloomberg as a senior RegTech product manager helping evolve the product strategies for a range of financial regulation and compliance solutions, trading and analytics platforms. Prior to this, he was the Chief Information Officer at Noble Group, a global commodity trading firm where he oversaw regulatory technology and the deployment of big data, trading and analytics platforms. Throughout his career Matt has helped teams to implement major development initiatives and IT infrastructures, including derivative and physical trading systems, ERP solutions, risk systems, finance systems and regulatory solutions.

FUTURE PLANS The continued development of the surveillance platform to include machine learning and news/corporate events. Thus eliminating false positives and streamlining compliance workflow.

SteelEye



BUSINESS FUNCTION SOLUTIONS Best Execution: Steeleye platform Conduct Risk: Steeleye platform Data Lineage: Steeleye platform Data Governance: Steeleye platform Data Privacy & Digital Identity: Steeleye platform Financial Crime: Steeleye platform KYC/AML: Steeleye platform Operational Risk Management: Steeleye platform Records Retention & Document Management: Steeleye platform Regulatory Reporting: Steeleye platform Trade Surveillance & Cyber Security: Steeleye platform Trade/Transaction Reporting: Steeleye platform Trading Venues: Steeleye platform




TARGET JOB TITLES Front office, Technology and Compliance.

SteelEye (cont)



Risk/Risk Calculation: Sterling Trading Engine Trade/Transaction Reporting: Sterling Aggregator


REGULATORY SOLUTIONS Additional Regulations Other Regulations: Risk

BUSINESS FUNCTION SOLUTIONS Best Execution: Sterling Trader Pro Conduct Risk: Sterling Risk Engine Market Risk: Sterling Trading Engine Operational Risk Management: Sterling Trading Engine Pre-Trade Risk: Sterling Aggregator Risk/Capital Adequacy: Sterling Trading Engine

COMPANY OVERVIEW STT provides the global professional trading community with trading platforms, risk and compliance tools, and infrastructure solutions. STT platforms are available for equity markets globally, and currently process 5% of the daily US equity volume. STT products are used in over 30 countries to trade international financial markets around the world.

DATE FOUNDED 2001

OWNERSHIP STRUCTURE Private/VC - Funded

COMPANY HEADQUARTERS 225 W Washington Street, 4th Floor Chicago 60606 USA


COMPETITORS All fintech providers with offerings for equities, options, futures, risk and compliance and infrastructure offerings

SALES CONTACT Melinda Joseph

E [email protected]

CEO Farid Naib

ABOUT THE CEO Farid has 25 years of experience in the financial technology industry as an entrepreneur, investor and manager. He is also currently Chairman of Document Depository Corporation, a SaaS company for data management solutions for the private capital industry, a company he founded in 2000, and a board member of Align Alytics. Farid served as Director of Gain Capital prior to its initial public offering in December 2010. Previously, he founded FNX Limited, a leading provider of global over-the-counter trading technology to the world’s largest financial institutions. FNX was acquired by GL Trade (now part of SunGard) in 2007. Farid also has served as an Entrepreneur-in-Residence at The Wharton School of the University of Pennsylvania.

FUTURE PLANS Crypto

Sterling Trading Tech



TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders


Sterling Trading Tech (cont)



KYC/AML: Entity Plus Operational Risk Management: Entity Plus Pre-Trade Risk: Entity Plus Regulatory Reporting: Entity Plus Risk/Risk Calculation: Entity Plus


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator

REGULATORY SOLUTIONS Major Regulations MiFID II: Entity Plus Dodd-Frank: Entity Plus SFTR: Entity Plus EMIR: Entity Plus KYC/AML: Entity Plus

Additional Regulations AIFMD: Entity Plus Dodd-Frank Volcker Rule: Entity Plus Solvency II: Entity Plus Other Regulations: AnaCredit : Entity Plus

BUSINESS FUNCTION SOLUTIONS Conduct Risk: Entity Plus Financial Crime: Entity Plus

COMPANY OVERVIEW SWIFTRef is SWIFT’s unique reference data and financial information utility. It provides reference data for financial transactions processing, regulatory compliance and due diligence activities. Our Entity Plus offering specifically helps with regulatory requirements and counterparty risk management through the centralized entity data it provides. Entity Plus cross-references different standardized entity identifiers (BIC, LEI, GIIN, MIC, BRN) needed in many regulatory contexts and gives the legal ownership structure of institutions contained.

DATE FOUNDED SWIFT was created 1973. SWIFTRef was created in 2011

OWNERSHIP STRUCTURE Cooperative

COMPANY HEADQUARTERS Avenue Adèle 1 La Hulpe 1310 Belgium



REFERENCE CLIENTS Nomura Bank Luxembourg, Banque Internationale à Luxembourg, Millenium Management, Commerzbank

COMPETITORS Accuity, Thomson Reuters, Opus, Bloomberg

CEO Gottfried Leibbrandt

FUTURE PLANS SWIFTRef data for regulatory compliance and due diligence will be a core pillar of the evolution of our online tool. SWIFTRef is also looking at broader APIs developments to come in the near future

SWIFTRef



3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Head of Regulatory Reporting, Compliance Officer, Head of Data Management, Head of Risk Management

SWIFTRef (cont)



COMPANY OVERVIEW Thesys Technologies is a capital markets technology leader with a focus on Market Structure Technology, providing high performance trading technologies and big data solutions to financial market participants. Thesys is building a new set of technology capabilities for capital market participants. We are bringing the benefits of an integrated, open-systems approach, for trading and regulatory systems that are more efficient, performant, and reliable. Thesys’ proprietary technology includes pre- and post-trade surveillance tools, low latency trading platforms, matching engines, and big data applications, such as those developed for the regulatory compliance for the SEC. Thesys specializes in low cost, fully customizable solutions, with a proven record of deployment on time and on spec. All of technologies and solutions are based around RegTech.

DATE FOUNDED 2009


COMPANY HEADQUARTERS 1740 Broadway, 14th Floor New York, NY 10019 United States


SALES CONTACT Erika Fioravanti

E [email protected]

CEO Mike Beller

ABOUT THE CEO Mike Beller is Chief Executive Officer of Thesys Group (formerly Tradeworx), the parent holding company of Thesys Technologies and Thesys CAT. As CEO, Mr. Beller is responsible for the overall business, operations, and management, and oversees the corporate strategy and sets the technology vision for the Thesys Group. In his role as CEO, Mr. Beller is also responsible for the corporate leadership team and organizational culture enterprise-wide. In 2017, under his leadership, Thesys was selected to build and operate the SEC-mandated Consolidated Audit Trail (CAT), which, upon completion, will be the largest financial database in the world. Today, Mr. Beller provides high-level guidance for Thesys CAT, the Plan Processor for the CAT. Mr. Beller has over 30 years of experience in finance, telecom, and information technology industries. Prior to becoming CEO, he served as Thesys’ Chief Technology Officer, architecting industry leading low latency trading and big data analytics platforms, and solving some of the industry’s most complex trading technology challenges. Prior to Thesys, Mr. Beller co-founded PenVision, a mobile field force automation company, innovating in wireless mobile computing and field force automation. Before that, he was a research engineer in the areas of wireless communications and cryptography, where he was co-inventor on multiple patents related to cryptographic protocols for mobile systems, at Bell Communications Research (Bellcore). Mr. Beller received his Bachelor of Science in Electrical Engineering from Cornell University, and his Master of Science in Electrical Engineering from Columbia University. He is an avid technologist who was an early adopter of the Internet, Linux and Cloud, and enjoys staying abreast of the latest technological innovations.

Thesys Technologies




TYPES OF FIRMS TARGETING 3 Broker/Dealer 3 Hedge Funds/Proprietary Traders 3 Investment Bank 3 Regulator


TARGET JOB TITLES Decision Makers

Thesys Technologies (cont)



COMPANY OVERVIEW Financial institutions without a scalable and future-proof data management infrastructure struggle with increased data intensive compliance obligations. They are also ignoring the data mining opportunities made possible with AI and machine learning. With its TickVault platform, TickSmith centralizes, transforms, and effectively manages financial data at scale so that data becomes the cornerstone of their business strategy. TickSmith provides concrete solutions for challenges such as: data distribution, complex financial simulations, TCA, best execution, and new regulatory requirements such as The Fundamental Review of the Trading Book (FRTB) and MIFID II in addition to supporting product and trading strategy development. About TickSmith- TickSmith specializes in Big Data technology and has built a next generation data lake platform to solve the pains of Capital Markets. The platform, TickVault, is used for data centralization, distribution, market surveillance, risk management, and advanced analytics TickVault is ideal for data producers as it creates historical data marketplaces by extracting value from data and is easily accessible to customers. TickVault is also ideal for data consumers to centralize terabytes and petabytes of data received from exchanges, data vendors, alternative data providers, trading systems, event feeds, and more.

DATE FOUNDED 2012

OWNERSHIP STRUCTURE VC Funded

COMPANY HEADQUARTERS 3575 boul. St-Laurent, suite 512 Montreal J4B 8N7 Canada


COMPETITORS Build vs buy

SALES CONTACT Francis Wenzel

E [email protected]

CEO Francis Wenzel

ABOUT THE CEO Francis Wenzel is a financial data and technology expert who is applying his knowledge and experience to TickSmith, a leader in Big Data applications for Capital Markets and financial services. With its TickVault platform, TickSmith is disrupting financial data management practices by providing untold new opportunities to exploit financial data. TickSmith’s platform provides specific solutions to participants in the brokerage and trading ecosystem, from exchanges to financial institutions, vendors and regulators. Previously Francis was VP of Product Management and Vendor Relations for SunGard’s FAME suite of data management products and services. Francis has studied at Université du Québec à Montréal and has been involved in data distribution since 1985 when he founded Les Logiciels Kaiser, a Montreal based software company providing market data charting and portfolio management software. In 1994 Francis joined Exchange Market Systems and was responsible for the marketing and product management departments of this market data and online trading application provider until its acquisition by SunGard in 1999.

TickSmith



REGULATORY SOLUTIONS Major Regulations MiFID II: TickVault FRTB: TickVault

BUSINESS FUNCTION SOLUTIONS Best Execution: TickVault Market Risk: TickVault Trade/Transaction Reporting: TickVault


TYPES OF FIRMS TARGETING 3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Investment Management 3 Regulator


TARGET JOB TITLES Head of Compliance, Head of Institutional Investment, Head of Risk, Head of Data, Head of Capital Markets Infrastructure

FUTURE PLANS Continue adding more compliance modules to our TickVault functional data lake platform. We currently support FRTB data modelability, best exec (MIFID RTS 27, 28), and TCA, the latter on streaming data.

TickSmith (cont)



BUSINESS FUNCTION SOLUTIONS Data Governance: Trunomi Consent & Data Rights Management Platform

REGULATORY SOLUTIONS Major Regulations GDPR: Trunomi Consent & Data Rights Management Platform

COMPANY OVERVIEW Trunomi unlocks the power of customer data using consent and data rights management. The Trunomi platform enables businesses to request, record and immutably prove the legal basis for processing personal data and comply with the highest standard for global data privacy (EU GDPR, ePrivacy Regulation, PSD2). For the customer we provide control and transparency over how their personal data is used. Trunomi turns regulation from a burden to a competitive advantage and is an enabler of the evolving personal information economy for a more flexible, transparent, empowered and customer-driven world. Trunomi has filed six patents for our technology and have raised over $9 million in Venture Capital funding. For more information see: www.trunomi.com.

DATE FOUNDED 2013

OWNERSHIP STRUCTURE VC Funded

COMPANY HEADQUARTERS 41 Luke Street London EC2A 4DP United Kingdom

TOTAL FUNDING RAISED $10.5 million


REFERENCE CLIENTS FIS

COMPETITORS In-house build

SALES CONTACT Chia Brewin, Director of Customer Development

E [email protected]

CEO Stuart Lacey

ABOUT THE CEO Stuart is a thought leader, TEDx speaker, investor and entrepreneur with a successful history of founding innovative companies and building remarkable shareholder value. With over 20 years of leadership experience in global financial and technology markets, he has a keen eye for growing successful teams and developing highly innovative solutions and technology platforms. He passionate about mentoring and creating lasting positive change through collaboration and the application of technologies to achieve success in mission-driven companies. Stuart is a multiple award-winning Member and of the Young Presidents Organization; including a Best of The Best in 2015; a member of YEC, The Institute of Directors; as well as a graduate of McGill University and the inventor of a number of industry defining patents. In 2015 he was was named by Bank Innovation as a 2015 Innovator to Watch – one of 44 Executives ‘Shaping the Future of Banking’ and is a TEDx Speaker on ‘The Future of Your Personal Data – Privacy vs Monetization’.

Trunomi



Data Privacy & Digital Identity: Trunomi Consent & Data Rights Management Platform


TYPES OF FIRMS TARGETING 3 Retail


TARGET JOB TITLES CMO, CDO, CIO, Data Protection Officer

Trunomi (cont)



behavioural alerts EMIR: UnaVista Trade Repository

Additional Regulations Financial Market Infrastructure Act: External routing for transaction reporting to SIX Other Regulations: Other G20 jurisdictions trade reporting routing to local trade repositories; Australia, Hong Kong, etc.

REGULATORY SOLUTIONS Major Regulations MiFID II: MiFIR ARM and ancillary services including Recs, Commodities Positions Reporting, Reference Data Reporting, Dodd-Frank: Routing to DTCC Trade Repository SFTR: Trade Repository, Accelerator (pre-UAT project management tool) MAR: Transaction Intelligence for surveillance and

COMPANY OVERVIEW UnaVista is London Stock Exchange Group’s global platform for reference data, reconciliation and regulatory reporting. UnaVista provides firms with a range of solutions designed to reduce operational and regulatory risk. UnaVista’s regulatory solutions help firms comply with multiple regulations through one interface allowing clients to do more than just comply with these reporting regimes.

DATE FOUNDED 2007

OWNERSHIP STRUCTURE Public, part of London Stock Exchange Group

COMPANY HEADQUARTERS 10 Paternoster square London EC4M 7LS United Kingdom


COMPETITORS Regis-TR, DTCC, Nex, Trax, Bloomberg etc.

SALES CONTACT Celia Schwitzner

E [email protected]

CEO Mark Husler

ABOUT THE CEO In 2014 Mark was appointed to the role of CEO of UnaVista. He manages a team of over 100 staff globally, focused on the provision and support of global regulatory reporting services to thousands of sell side and buy side clients. Helping these clients to comply with global regulations and process over 8 billion multi asset class trades annually to global regulators.

FUTURE PLANS SFTR is a key strategy for UnaVista in 2018/2019, development focus is firmly fixed on delivering not only the repository technology itself, but also all the complementary services that we know firms need to meet their regulatory requirement. OTC Blocking & Auto submit, MiFID II Commodities Positions Reporting (Position Limits), Canada reporting, Transparency Disclosures are all on the 2018 product roadmap we have shared with our clients. Additional solutions involving Data Analytics, Peer-to-Peer, KPI will also be made available to firms as well as enhancing the current regulatory reconciliations solutions to include a wider scope of requirements. UnaVista is also scheduling resources to keep abreast of regulatory changes across all regulations.

UnaVista, London Stock Exchange



BUSINESS FUNCTION SOLUTIONS Regulatory Reporting: UnaVista Trade Surveillance & Cyber Security: UnaVista Trade/Transaction Reporting: UnaVista




TARGET JOB TITLES Heads, Director, VP, Manager of Operations; Heads, Director, VP, Manager of Finance; Heads, Director, VP, Manager of Compliance and Heads, Director, VP, Manager of Securities.

UnaVista, London Stock Exchange (cont)



KYC/AML: COBA Market Risk: COBA Operational Risk Management: COBA Pre-Trade Risk: COBA Records Retention & Document Management: COBA Regulatory Reporting: COBA Research Aggregation: Risk/Capital Adequacy: COBA Risk/Risk Calculation: COBA Other: COBA


TYPES OF FIRMS TARGETING Any participant in the wealth management sector, including Cryptos.

FIRM SIZES TARGETED Irrelevant, as long as they are a growth company.

REGULATORY SOLUTIONS Major Regulations MiFID II: COBA GDPR: COBA Dodd-Frank: COBA KYC/AML: COBA

Additional Regulations AIFMD: COBA Basel III: COBA Benchmarks Regulation: COBA CFTC Regulation Automated Trading (Regulation AT): COBA CFTC Rules 1.73 and 1.74: COBA Financial Market Infrastructure Act: COBA Regulation ATS: COBA SEC Form PF: COBA Other Regulations: COBA

BUSINESS FUNCTION SOLUTIONS Client Onboarding: COBA Conduct Risk: COBA Data Governance: COBA Data Privacy & Digital Identity: COBA Distributed Ledger/Blockchain: COBA Financial Crime: COBA Infrastructure Monitoring: COBA

COMPANY OVERVIEW The focus of our company is to provide superior and highly automated end-to-end client onboarding solutions, to the wealth management sector, through our proprietary software, COBA™.

DATE FOUNDED 2015

COMPANY HEADQUARTERS Lamma Island 11d, Ho Lee Commercial Building, 38 D’Aguilar Street Central Hong Kong



SALES CONTACT Peter Hatz

E [email protected]

CEO Colin Lunn

FUTURE PLANS Blockchain as a database.

Veridate Financial



BUSINESS FUNCTION SOLUTIONS Data Governance: Verint Financial Compliance Financial Crime: Verint Branch Surveillance & Investigation, Desktop & Process Analytics, Identity Analytics, Voice Self-Service Fraud Detection Infrastructure Monitoring: Verint Financial Compliance - Automated Verification Operational Risk Management: Verint Financial Compliance - Automated Verification Records Retention & Document Management: Verint Financial Compliance Trade Surveillance & Cyber Security: Verint Financial Compliance Trade/Transaction Reporting: Verint Financial Compliance

REGULATORY SOLUTIONS Major Regulations MiFID II: Verint Financial Compliance GDPR: Verint Customer Analytics, Verint Encryption, Verint Automated Verification, Verint Recording Dodd-Frank: Verint Financial Compliance SFTR: Verint Financial Compliance MAR: Verint Financial Compliance EMIR: Verint Financial Compliance

Additional Regulations Basel III: Verint Financial Compliance Dodd-Frank Volcker Rule: Verint Financial Compliance

COMPANY OVERVIEW Through its acquisitions of Verba and Nxtera in 2017, Verint is the only FinTech/RegTech vendor in the market providing a holistic financial compliance suite integrating proactive, active and reactive compliance capabilities. The extensive Verint portfolio offers proactive compliance, omnichannel compliance recording and archiving, speech search and transcription, automated verification and assurance solutions that is augmented by an extensive ecosystem of RegTech partners.

DATE FOUNDED 2002


COMPANY HEADQUARTERS 175 Broadhollow Rd., Suite 100 Melville, NY 11747 USA


COMPETITORS NICE, Red Box, ASC

CEO Dan Bodner

ABOUT THE CEO Dan Bodner has served as president and CEO of Verint Systems since its inception. In August 2017, he became chairman of the Board of Directors. Mr. Bodner started the company in 1994 with a focus on Actionable Intelligence innovation, reflecting his vision of helping organizations gain actionable insights from large amounts of structured and unstructured data. Under his leadership, the company has experienced rapid growth.

FUTURE PLANS Increase presence in the compliance capture, infrastructure monitoring and automated compliance assurance space, supporting the latest UC, collaboration and trader communications platforms.

Verint






TARGET JOB TITLES MD, Director, SVP, VP, Head of: Compliance, Risk and Governance, Surveillance, Voice, End User Services, Collaboration, Infrastructure, Operations, Automation, RegTech

Verint (cont)



COMPANY OVERVIEW Founded in 2001, Volante Technologies (Volante) is a global leader in the provision of software for the integration, processing, reporting and orchestration of any financial transaction. Volante is dedicated to helping firms increase their agility so they can focus on compliance, embrace new technology and remain competitive in their marketplace. Product features such as configuration rather than coding, automated code and documentation generation and inbuilt test harnesses promise significantly accelerated project completions.

Volante serves a growing client base of more than 90 financial institutions and corporate enterprises operating in 35 countries around the world, including many of the largest global organizations. Many clients use Volante to assist with multiple product implementations ranging from message transformation and integration, through to the processing and orchestration of a wide array of financial instruments. Along with its products, Volante Designer and the VolPay Suite of payments products, Volante maintains a growing library of hundreds of domestic and international financial industry standards plugins, transformations and processor modules. Volante’s suite of solutions can be licensed and deployed on premise or on the cloud.

Supported by offices located in major global financial hubs in the USA, Central and Southern America, Europe, Middle East and Africa, Volante has the ability to engage with clients on a global perspective regarding the challenges of processing transactions within an ever-evolving regulatory landscape. From conversations with clients and the industry at large, Volante has seen first-hand some of the challenges that investment banks, brokers, fund managers, CCPs, and trade repositories face when looking to comply with new regulations. These include how to reduce ongoing compliance costs, minimize the impact of reporting obligations on transaction processing, be self-sufficient during implementation, and record and report once in the correct format. It is not just a matter of reporting the correct transactions on time, but managing which regulator is sent what data in what format and when. Traditionally, firms have dealt with regulatory demands by putting manual solutions in place, but with so much differing and changing regulation, a technical/automated solution ideally is what is needed, as the alternative is becoming too expensive, time consuming and risky. But of course, automated solutions do not come without their own challenges. Volante understands the challenges of accepting and translating multiple formats from multiple sources, managing data in a hub and then delivering that data in the appropriate format and within time to individual regulators, and works to reduce the complexity of regulatory burdens for its clients by automating once manual processes.

Whatever the outcome, Volante will have a ‘plug-in’ or be able to quickly develop one, helping to mutualize the cost, minimize the risk and roll out the changes quickly to ensure that customers are compliant in good time. Volante Designer can accelerate the creation and deployment of a transaction reporting solution to address the various challenges and pressures in transaction reporting and remain compliant with reporting regulations in a highly streamlined and efficient manner. Volante Designer includes a canonical model derived from ISO 20022 that is extended to cater for different reporting regimes that use other formats. It supports modern technology such as NoSQL database technology and RESTful APIs married to Volante’s proven ability in supporting financial message standards, transformation, validation and enrichment. The result of this combination means that regardless of where regulation takes your firm in the coming years or wherever technology moves to, you can quickly adapt to that ever-changing world.

DATE FOUNDED 2001


Volante Technologies Inc.



MAR: Volante Designer for Automated Transaction Reporting EMIR: Volante Designer for Automated Transaction Reporting CSDR: Volante Designer for Automated Transaction Reporting Additional Regulations Basel III: Volante Designer for Automated Transaction Reporting

REGULATORY SOLUTIONS Major Regulations MiFID II: Volante Designer for Automated Transaction Reporting FRTB: Volante Designer for Automated Transaction Reporting Dodd-Frank: Volante for Dodd-Frank SFTR: Volante Designer for Automated Transaction Reporting

COMPANY HEADQUARTERS Harborside 5 185 Hudson Street, #1605 Jersey City, NJ 07311 United States

TOTAL FUNDING RAISED None, Volante has grown organically.


COMPETITORS FIS, Trace Financial, C24 (now owned by Gresham), Informatica, FINASTRA, LSE, NASDAQ, Consulting firms (CGI, Infosys, etc.), In-house development.

SALES CONTACT Nihit Ahuja

T + 44(0)203 926 5460

E [email protected]

CEO Vijay Oddiraju

ABOUT THE CEO After leaving school, Vijay embarked on a masters in computer science, joining Oracle shortly after graduation. It was at Oracle that Vijay met Larry Ellison, one of his earliest role models who served to fuel Vijay’s desire to “think big, remember to give something back and never shy away from risk.” After Oracle, Vijay launched a number of companies; a consulting firm, a Java standards-based middleware product company and T Plus Systems, focused on providing an integration layer and data transformation capabilities for middleware products. From T Plus Systems,

Volante Technologies was born in 2001. With a firm focus on fulfilling the needs of the financial services industry and on reducing the time it takes to integrate products and services with existing systems, Volante’s raison d’être has never changed. The company’s number one aim remains – to save their customer’s time and to eradicate wherever possible, human intervention and the ensuing costs from processes.

FUTURE PLANS Volante Designer is a flexible suite of tools that can be used to address multiple regulations and asset classes. As and when new regulations are defined, Volante will work to support them on this platform and actively engages with its customers and participates in standards bodies such as ISO 20022 to ensure that our clients are fully supported in the reporting requirements.

Volante Technologies Inc. (cont)



BCBS 239: Volante Designer for Automated Transaction Reporting CFTC Regulation Automated Trading (Regulation AT): Volante Designer Suite CFTC Rules 1.73 and 1.74: Volante Designer Corep: Volante Designer Dodd-Frank Volcker Rule: Volante Designer Financial Market Infrastructure Act: Volante Designer Finrep: Volante Designer Regulation ATS: Volante Designer SEC Form PF: Volante Designer

BUSINESS FUNCTION SOLUTIONS Client Onboarding: Volante Designer Data Lineage: Volante Designer Distributed Ledger/Blockchain: Volante Designer Regulatory Reporting: Volante Designer Trade/Transaction Reporting: Volante Designer Trading Venues: Volante Designer

REGIONS SELLING IN 3 Europe 3 North America 3 South America 3 Middle East & Africa

TYPES OF FIRMS TARGETING

3 Brokerage 3 Broker/Dealer 3 Custodian/Funds Administrator 3 Hedge Funds/Proprietary Traders 3 Insurance/Plan Sponsor 3 Investment Bank 3 Investment Management


TARGET JOB TITLES Heads of Transaction Silos (Equities, Fixed Income, etc.), CTOs, CIOs

Volante Technologies Inc. (cont)



COMPANY OVERVIEW Wolters Kluwer’s Finance, Risk & Reporting business is a leader in the provision of integrated regulatory compliance and reporting solutions globally, supporting regulated financial institutions in meeting their obligations to external regulators and their own board of directors. It is part of Netherlands-based Wolters Kluwer, a Euronext listed firm which reported 2017 annual revenues of €4.4 billion, employing 19,000 people worldwide. As part of its award winning OneSumX suite of solutions, Wolters Kluwer offers market leading RegTech solutions across finance, risk and regulatory reporting. Some examples are included below. Wolters Kluwer’s OneSumX for Regulatory Reporting solution, for example, is used by the world’s leading banks, to ensure they remain competitive in light of the increasingly challenging regulatory landscape. OneSumX for Regulatory Reporting uses a single source of data to ensure consistency, reconciliation and accuracy and includes the firm’s Regulatory Update Service, actively monitoring regulation in approximately 30 countries, helping to ensure the solution is current at all times. The company’s OneSumX for Finance solutions support financial institutions in their strategic planning, budgeting and forecasting through industry-acclaimed simulations and analytics. OneSumX for Finance solutions provide financial institutions with fully integrated finance functionality, from event to disclosure, with built-in content and expert support to flexibly address finance challenges in this fast-moving business and regulatory environment. Our clients use OneSumX across IFRS (including IFRS 9 and IFRS 16) and for CECL compliance. Wolters Kluwer’s OneSumX Asset & Liability Management (ALM) is contract-centric; it builds up the balance sheet based on the details of contracts from which various risk metrics can be calculated, including risk factors, counterparty information and behavioral modeling. A centralized data repository combining contract data, balance sheet structures, counterparty and market data complements the ALM solution and is an integral part of the overall system. OneSumX Business Analytics, meanwhile, provides a quick yet powerful way to leverage the data and results held in the wider OneSumX platform and other external data sources. It allows clients to improve ROI on existing infrastructure, complying with the supervisory demands for use of such data in decision-making and delivering the ability for all levels of the financial organization to operate in a more agile, responsive and forward-looking way. An overarching theme in Wolters Kluwer’s growth strategy is to deliver an integrated set of finance, risk and reporting capabilities deployed in a flexible environment, allowing rapid response to constant regulatory change. OneSumX for Finance, Risk and Regulatory Reporting is a best-in-class integrated regulatory compliance and reporting solution suite that establishes a single source of data for finance, risk and regulatory reporting that is enriched with value-added content from our in-house experts. Our approach dramatically improves insight and analysis across the enterprise, providing the scalability needed to process large volumes of data required by new data-driven regulatory regimes, preserving data lineage at each functional stage and enabling future proofed end-to-end regulatory compliance.

DATE FOUNDED 1836


COMPANY HEADQUARTERS 2 Zuidpoolsingel Alphen aan den Rijn 2408 ZE The Netherlands

Wolters Kluwer



Additional Regulations AIFMD: OneSumX Basel III: OneSumX BCBS 239: OneSumX Benchmarks Regulation: OneSumX Corep: OneSumX Dodd-Frank Volcker Rule: OneSumX Financial Market Infrastructure Act: OneSumX Finrep: OneSumX Solvency II: OneSumX

REGULATORY SOLUTIONS Major Regulations MiFID II: OneSumX FRTB: OneSumX Dodd-Frank: OneSumX SFTR: OneSumX MAR: OneSumX EMIR: OneSumX KYC/AML: OneSumX


REFERENCE CLIENTS We have an extensive range of clients globally who have publicly allowed us to reference them in case studies and press releases. In recent years this includes (in no particular order) ABN AMRO, CIBC, Santander, China Merchants Bank, China Construction Bank, LGT, Nordea, BBVA, China Everbright Bank, Bank of Tokyo-Mitsubishi UFJ, Australia’s Queensland Treasury Corporation and The Swedish Export Credit Corporation, amongst others.

COMPETITORS Wolters Kluwer maintains a strong leadership position across a diverse set of competitors with a range of regulatory capabilities and focus. Competitors include traditional regulatory reporting providers, risk and analytics providers, as well as enterprise resource planning (ERP) providers with finance capabilities.

SALES CONTACT Graham Hogan, Sales Director

T 44 20 3197 6671

E [email protected]

CEO Claudio Salinardi

ABOUT THE CEO Claudio Salinardi is the Executive Vice President and General Manager of the Governance, Risk & Compliance division’s Finance, Risk & Reporting business. He joined in May 2018 from ICE Data Services, where he was Global Head of Strategic Alliances, responsible for managing the firm’s relationships with its largest and most influential partners. Prior to ICE, Claudio spent over 10 years with Thomson Reuters in progressively senior roles, ultimately leading its Global Fixed Income business.

FUTURE PLANS The market we serve is at an exciting stage. We note the following major themes: Statutory Regulatory Reporting is the largest and typically most complex workflow, driven by local country and regulatory variations. Financial Reporting and Risk Analytics & Reporting are increasing in size and importance, and generally follow global reporting standards. The convergence of bank requirements across workflows is driving the need for integrated regulatory compliance and reporting solutions. As a result, Wolters Kluwer’s Finance, Risk & Reporting business has an opportunity: To increase scale in financial and risk reporting. To deepen our penetration in statutory regulatory reporting (i.e., additional markets, client segments). To increase take-up of integrated regulatory compliance and reporting solutions.

Wolters Kluwer (cont)



Other Regulations: CECL, IFRS 9, IFRS 16

BUSINESS FUNCTION SOLUTIONS: Conduct Risk: OneSumX for Conduct Risk Data Lineage: OneSumX for Regulatory Reporting Financial Crime: OneSumX Financial Crime Control KYC/AML: OneSumX AML Market Risk: OneSumX for Risk Operational Risk Management: OneSumX for GRC Regulatory Reporting: OneSumX for Regulatory Reporting Risk/Capital Adequacy: OneSumX for Risk Risk/Risk Calculation: OneSumX for Risk Other: OneSumX for Finance (IFRS 9, IFRS 16 and CECL), OneSumX Business Analytics




TARGET JOB TITLES CRO, CTO, CFO, CIO, CDO, Compliance Officer, Head of Regulatory Reporting to name a few. Our solutions are bought by risk, finance, treasury, technology, data, information, IT, compliance and regulation functions.

Wolters Kluwer (cont)



COMPANY OVERVIEW Xenomorph provides trusted data management solutions to many of the world’s leading financial institutions. The company has more than two decades’ experience managing large volumes of complex data and analytics. It has consistently reinvested in its technology, culminating in the latest generation enterprise data management platform TimeScape EDM+. The platform supports all core data management workflows – spanning data integration, mapping, normalisation, consolidation, derivation, validation, cleansing and distribution. It enables Financial Service Providers to create securities, pricing and risk data masters to support front, middle and back office functions. These master sources are central stores of gold copy pricing and risk information (including market data, analytics and reference data) that help firms comply with regulatory obligations. Because of its configurable workflow engine and flexible data model, TimeScape EDM+ has proven itself to be future proof. It is always able to adapt to changing regulatory-driven requirements for data management. From asset classification models, independent price verification processes, valuation adjustments (including xVA and prudent valuation) through to FRTB-related challenges such as real price modellability, risk factor mapping, model calibration, P&L attribution and back-testing challenges – the platform can be configured by business users to accommodate new data requirements, workflows and analytics without requiring costly development efforts.

DATE FOUNDED 1995

OWNERSHIP STRUCTURE Private (Backed by institutional private equity investors)

COMPANY HEADQUARTERS 10 Lloyd’s Avenue London EC3N 3AJ UK

TOTAL FUNDING RAISED Xenomorph was owned exclusively by its founder directors, but recently completed a recapitalisation that raised just over £7 million from institutional investors led by New Model Venture Capital and appointed a new senior management team


REFERENCE CLIENTS See homepage www.xenomorph.com

COMPETITORS Asset Control, Markit EDM, GoldenSource, Bloomberg Polarlake, Internal IT systems

SALES CONTACT Andrew Hawa

E [email protected]

CEO Ronald Zeghibe

ABOUT THE CEO Ron has over 25 years’ experience in leading management buyouts, startups and corporate turn-around situations. He joined Xenomorph Software Holdings as Chairman, at the beginning of 2016 to assist its rapid growth and to help it maximize the strategic opportunities presented by the rapidly changing regulations in the Global Capital Markets. In December 2017, he co-led a buy-out of Xenomorph Holdings and became CEO of the company.

FUTURE PLANS The latest version of TimeScape EDM+ includes a growing number of pre-configured modules to address common regulatory-driven data management challenges. These modules will

Xenomorph



3 Middle East & Africa 3 Asia/Pacific



TARGET JOB TITLES COO, CFO, COO, CRO, CDO, CTO, Head of FRTB, Head of Valuation Control, Head of Operational Risk, Head of Model Risk, etc.

REGULATORY SOLUTIONS Major Regulations MiFID II: TimeScape EDM+ FRTB: TimeScape EDM+

Additional Regulations Basel III: TimeScape EDM+

BCBS 239: TimeScape EDM+ Other Regulations: More of an accounting standard than regulation - IFRS 9

BUSINESS FUNCTION SOLUTIONS Best Execution: TimeScape EDM+ Data Lineage: TimeScape EDM+ Data Governance: TimeScape EDM+ Market Risk: TimeScape EDM+ Operational Risk Management: TimeScape EDM+ Regulatory Reporting: TimeScape EDM+ Risk/Capital Adequacy: TimeScape EDM+ Trade/Transaction Reporting: TimeScape EDM+


eventually cover all key data management workflows supporting risk, product and valuation control functions. For example, the latest modules to be released cover including price verification (IPV) processes, market conformity checks (MCC) and other best execution workflows relevant to MiFID II. Other modules available (or in development) include valuation adjustments (xVA and prudent valuation) and a full range of FRTB-related data management processes – including real price modellability, risk factor mapping and repository, model calibration, P&L attribution and back-testing. Other recent product developments include a new version of Xenomorph’s SpreadSheet Inside (SSI) technology - an innovative application that combines the user-friendly interface of a spreadsheet with the auditability and control of an enterprise software platform. In addition to providing a highly intuitive and familiar user interface, SSI runs all calculations on server-side infrastructure for additional scalability, performance and control. The new release has achieved a significant improvement in performance by parallelising more processes. SSI also ensures that calculations fall under TimeScape EDM+ auditable workflows, giving audit and control teams clear line of sight into how data was derived, which input sources were used, who made changes and when they were made. The new formula editing tools incorporated into the latest version of Spreadsheet Inside include features such as Intellisense, which understands business semantics and helps to auto-complete queries and operations. The interface also incorporates improved dependency tracking, cell name management and cell reference management – ensuring users can easily see the relationship between cells, as well as functions and formulae that reference those cells.

Xenomorph (cont)

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