Finreg-E
Automated Regulatory Compliance
Financial Regulation Made Easy©
Revolutionising the processes around identification and understanding of global financial regulatory rules through technology to make Financial Regulation Easy©
AI driven regulatory compliance and change management to make Financial Regulation Easy©
Finreg-E harnesses the power of machine learning and artificial intelligence to automatically extract key actions under regulatory rules, connect them to internal controls and deliver intuitive workflows to fill gaps in compliance.
Introducing Finreg-E Automated Regulatory Compliance and Change Management
Consider the problems of manually managing regulatory change and compliance, which involves:
- Keeping up to date with regulatory changes
- Identifying the requirements from a rule or change
- Identifying the affected compliance policies, procedures and controls
- Understanding gaps in compliance in procedures and controls
- Identifying relevant compliance owners for regulatory changes
- Maintaining a library of applicable rules and linked policies, procedures and controls
Finreg-E’s provides a unique regulatory compliance and change management application that uses innovative technology to bring automation and efficiencies in the identification, analysis and compliance with global financial regulatory rules.
Leveraging technologies such as artificial intelligence, natural language processing, topic modelling and deep learning, Finreg-E dynamically connects regulatory requirements to internal policies, procedures and controls to understand the impact and gaps against rules on the internal compliance environment.
Finreg-E client trials have proven Finreg-E:
- Delivers over 90% accuracy in automatically mapping regulatory requirements to internal business controls
- Generates applicable regulatory rules libraries over 80% quicker than manual effort
- Reduces time and costs by over 90% in identification and compliance with changing regulatory rule requirements versus a manual processes
Finreg-E is delivered by a team with over two decades of deep expertise in working with innovative technology, regulatory policy, change implementation and regulatory remediation across the energy and finance industries.
Finreg-E Automated Solutions
Finreg-E provides standard and bespoke regulatory compliance solutions for automating common regulatory compliance manual processes. Our solutions are intelligently developed and continually maintained through user feedback to ensure we target compliance problems to deliver the optimal user experience.
Finreg-E’s automated solutions offer:
Machine learning algorithms to track and capture regulatory developments across global regulators in real time
Regulatory content delivered in original and translated languages in real time
Digital and machine readable regulatory rule libraries across common themes and topics
Extraction of regulatory requirements, obligations and compliance actions under rules text using artificial intelligence
Real time mapping of regulatory rules to internal policies, processes, risks, controls and governance
Intuitive compliance workflows to perform impact assessment and self-assessments against regulatory requirements
Regulatory action management to formulate, assign and track compliance responsibilities to accountable executives
Reports and dashboards to provide visibility and comprehensive view of regulatory compliance and change landscape
Get in touch today to find out how we can help streamline your compliance strategy.
Benefits from Finreg-E’s automation
Proven to bring over 90% savings in time and costs over several trials, Finreg-E delivers:
Speed
Boost your speed and responsiveness to regulatory change
Analysis
Implement a data driven approach to identifying compliance impacts and accountability
Digital compliance
Work with machine-readable regulatory rulebooks to map and manage compliance requirements
Automation
Drive automation and efficiency in inefficient and repetitive manual compliance tasks
Avoid mistakes
Reduce errors and duplication in regulatory change capture and management
Understand everything
Gain visibility of your entire regulatory compliance and change landscape
Audit Trials
Manage your regulatory rules and compliance actions in one single fully auditable app
Get compliance right
Report more accurate information to internal and external supervisory boards and authorities
The result is increased productivity, improved quality, reduced costs and better outcomes.
Benefits from Finreg-E’s automation
Proven to bring over 90% savings in time and costs over several trials, Finreg-E delivers:
Speed
Boost your speed and responsiveness to regulatory change
Analysis
Implement a data driven approach to identifying compliance impacts and accountability
Digital compliance
Work with machine-readable regulatory rulebooks to map and manage compliance requirements
Automation
Drive automation and efficiency in inefficient and repetitive manual compliance tasks
Avoid mistakes
Reduce errors and duplication in regulatory change capture and management
Understand everything
Gain visibility of your entire regulatory compliance and change landscape
Audit Trials
Manage your regulatory rules and compliance actions in one single fully auditable app
Get compliance right
Report more accurate information to internal and external supervisory boards and authorities
The result is increased productivity, improved quality, reduced costs and better outcomes.
Latest Regulatory Alerts
| Country | Regulator | Publish Date | Type | Title |
|---|---|---|---|---|
| European Union | EBA | 08/08/2019 | Opinion | EBA publishes the first of three opinions on the implementation of the Deposit Guarantee Schemes Directive |
| Singapore | MAS | 08/08/2019 | Final Rule | Form 22A - Notice of Commencement of Business as a Registered Fund Management Company Licensing, Authorisation and Registration |
| Singapore | MAS | 08/08/2019 | Final Rule | Form 1A - Application for a Capital Markets Services Licence for Fund Management Company Licensing, Authorisation and Registration |
| Singapore | MAS | 08/08/2019 | Final Rule | Form 23A - Notice of Change of Particulars for a Registered Fund Management Company or a Venture Capital Fund Manager Notifications Representative-related |
| Singapore | MAS | 08/08/2019 | Final Rule | Form 11 - Appointment of Chief Executive Officer or Director / Change of Directors Nature of Appointment from Non-Executive to Executive (For Licensed Fund Management Companies) Licensing, Authorisation and Registration Key Appointments Fit and Proper Criteria |
| United Kingdom | FCA | 08/08/2019 | Enforcement | First Supervisory Notice 2019: SVS Securities Plc |
| Singapore | MAS | 07/08/2019 | Fintech | MAS Launches Sandbox Express for Faster Market Testing of Innovative Financial Services |
| United Kingdom | ICO | 07/08/2019 | Final Rule | Protecting children online: update on progress of ICO code |
| United Kingdom | BOE | 07/08/2019 | Guidelines | Guidelines for completing regulatory reports |
| United Kingdom | BOE | 07/08/2019 | Final Rule | Regulatory reporting: EBA Taxonomy 2.9 |
| European Union | EIOPA | 07/08/2019 | Other | ESAs respond to the European Commission on the exclusion of performance scenarios options from PRIIPs consumer testing exercise |
| Singapore | MAS | 07/08/2019 | Final Rule | Notice 651 Liquidity Coverage Ratio Disclosure Liquidity Risk |
| Singapore | MAS | 07/08/2019 | Final Rule | Notice 653 Net Stable Funding Ratio Disclosure Liquidity Risk |
| Singapore | MAS | 07/08/2019 | Final Rule | Notice 652 Net Stable Funding Ratio Liquidity Risk |
| Singapore | MAS | 07/08/2019 | Final Rule | Notice 649 Minimum Liquid Assets and Liquidity Coverage Ratio Liquidity Risk |
| European Union | ESMA | 07/08/2019 | Final Rule | MIFID II: ESMA ISSUES LATEST DOUBLE VOLUME CAP DATA |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice 132 Cyber Hygiene Technology Risk |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice 1119 Cyber Hygiene Technology Risk |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice 655 Cyber Hygiene Technology Risk |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice CMG-N03 Cyber Hygiene Technology Risk |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice TCA N06 Cyber Hygiene Technology Risk |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice PSOA-N06 Cyber Hygiene Technology Risk |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice 1118 Cyber Hygiene Technology Risk |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice 834 Cyber Hygiene Technology Risk |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice 655A Cyber Hygiene Technology Risk |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice 507 Cyber Hygiene Technology Risk |
| European Union | ESMA | 06/08/2019 | Call for Input | ESMA calls for data experts to join industry advisory group |
| United States | CFTC | 06/08/2019 | Final Rule | 84 FR 38115 |
| Singapore | MAS | 06/08/2019 | Final Rule | MAS Issues New Rules to Strengthen Cyber Resilience of Financial Industry Risk Management |
| Singapore | MAS | 06/08/2019 | Final Rule | Notice FAA-N21 Cyber Hygiene Technology Risk |
| China | PBoC | 06/08/2019 | Statement | Statement of the People’s Bank of China on US Treasury Department Designating China as a Currency M... |
| European Union | EBA | 06/08/2019 | Other | EBA publishes feedback on a review of the use, usefulness and implementation of the Single Rulebook Q&A |
| United Kingdom | FCA | 06/08/2019 | Other | Number of skilled persons reports commissioned in Q1 2019/20 |
| European Union | EBA | 05/08/2019 | Other | EBA advises the European Commission on the implementation of the final Basel III framework |
| United Kingdom | FCA | 05/08/2019 | Other | Senior Managers and Certification Regime Banking Stocktake Report |
| United Kingdom | FCA | 05/08/2019 | Enforcement | SVS Securities PLC Enters Administration |
| United Kingdom | ICO | 05/08/2019 | Other | Fully automated decision making AI systems (blogger post) |
| Singapore | MAS | 05/08/2019 | Proposed Rule | Consultation Paper on Requirements on Controls Against Market Abuse Market Conduct Risk General Provisions |
| Singapore | MAS | 05/08/2019 | Final Rule | MAS-SGX Trade Surveillance Practice Guide Market Conduct Risk General Provisions |
| Singapore | MAS | 05/08/2019 | Proposed Rule | Consultation Paper on Requirements on Controls Against Market Abuse Market Conduct Risk General Provisions |
Finreg-E Regulatory Coverage
Finreg-E provides coverage of regulatory content across all major regulators and jurisdictions. Content can be delivered in original or translated languages of our client’s choice. Our proven agile technology means we are able to switch on coverage of regulatory content from any chosen content source that our clients want to track.
Finreg-E Regulatory Coverage
| Region | Regulators |
|---|---|
| Argentina | ASC |
| Australia | APRA, ASIC |
| Austria | FMA |
| Bahamas | SCB |
| Belgium | FSMA |
| Brazil | CVM, CMN |
| Canada | OFSI |
| Cayman Islands | CIMA |
| Chile | SBIF |
| China | CBRC, CBIRC, PBOC |
| Denmark | DFSA |
| European Union | EBA, ECB, EIOPA, ESMA |
| Finland | FIN-FSA |
| France | ACPR, AMF |
| Germany | BAFIN |
| Global | BIS, FSB, FATF, IADI, IOSCO, IASB |
| Hong Kong | HKMA, SFC |
| India | SEBI, MCA |
| Indonesia | OJK |
| Ireland | CBI |
| Italy | CONSOB |
| Japan | JFSA |
| Korea | FSC, FSS |
| Luxembourg | CSSF |
| Malaysia | BNM, SC |
| Mexico | CNBV |
| Netherlands | AFM |
| Norway | FINANSTILSYNET |
| Poland | PFSA, PFOC |
| Portugal | CMNV, BDP |
| Romania | ASF |
| Singapore | MAS, PDPC |
| Spain | CNMV |
| Sweden | SFSA |
| Switzerland | FINMA |
| Taiwan | FSC, SITCA |
| Thailand | SEC |
| UK | BOE, FCA, PRA, ICO |
| US | CFTC, DOJ, DOL, FED, FINRA, OCC, SEC |
| Vietnam | SEC |
Finreg-E Weekly Regulatory News Alerts
Stay up-to-date with the latest regulatory changes. Sign up to Finreg-E’s weekly regulatory alerts news.
How can we help you?
We recognise that managing and maintaining regulatory compliance is one of the most time and resource consuming activity. We would welcome sharing with you how we are helping our clients harness the power of automation to solve their compliance problems.