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.

Finreg-E is ISO 27001:2013 certified. Finreg-E is also Stage 1 and Stage 2 FSQS accredited.

Introducing Finreg-E Automated Regulatory Compliance and Change Management

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.

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.

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.

Latest Regulatory Alerts

Country Regulator Publish Date Type Title 
European UnionESMA25-Sep-20MiFID - Secondary Markets, Trading >Consultation PaperESMA70-156-2013:Consultation Paper on the functioning of Organised Trading Facilities
United StatesSEC25-Sep-20Litigation ReleaseLR-24919 : SEC Charges North Carolina Man with Insider Trading
United StatesSEC25-Sep-20Litigation ReleaseLR-24918 : Individuals Charged by SEC with Operating an Investment Scheme Targeting the Orthodox Jewish Community Criminally Indicted
United StatesSEC25-Sep-20Litigation ReleaseLR-24917 : SEC Charges Former Mining Executive with Making False Statements
United StatesSEC25-Sep-20Press ReleaseSEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct
United StatesSEC25-Sep-20Press ReleaseSEC Charges Top Executive of California Microcap Company for Misleading Claims Concerning COVID-19 Test and Financial Statements
Hong KongHKMA25-Sep-20Press ReleaseUS Dollar Liquidity Facility Tender Notice
Hong KongHKMA25-Sep-20Press ReleaseFraudulent website related to Airstar Bank Limited
SwitzerlandFC25-Sep-20Board of the Swiss Federal Institutes of Technology11 new professors appointed at ETH Zurich and EPFL
SwitzerlandFC25-Sep-20The Federal CouncilCoronavirus: 2021 budget – subsequent notifications of CHF 1.4 billion for measures to counter impact of COVID-19 pandemic
SwitzerlandFC25-Sep-20The Federal CouncilCoronavirus: 2021 budget – subsequent notifications of CHF 1.4 billion for measures to counter impact of COVID-19 pandemic
SwitzerlandFC25-Sep-20Board of the Swiss Federal Institutes of TechnologyBoard appoints new members of the Executive Boards of ETH Zurich and EPFL
SwitzerlandFC25-Sep-20Federal Department of Foreign AffairsFederal Councillor Ignazio Cassis holds official working meeting with Foreign Minister Katrin Eggenberger in Vaduz
SwitzerlandFC25-Sep-20Federal Office of Public HealthThe Swiss Confederation joins the COVAX initiative for the procurement of COVID-19 vaccines
SwitzerlandFC25-Sep-20The Federal CouncilCoronavirus: 2021 budget – subsequent notifications of CHF 1.4 billion for measures to counter impact of COVID-19 pandemic
United StatesCFTC25-Sep-20General Press ReleasesRelease Number 8255-20
United StatesCFTC25-Sep-20Enforcement Press ReleasesRelease Number 8254-20 Largest Joint Filing Between CFTC and State Regulators in History
United StatesCFTC25-Sep-20Speeches & TestimonyStatement of CFTC Chairman Heath P. Tarbert on FSOC’s Activities-Based Review of Secondary Mortgage Market Activities
United StatesCFTC25-Sep-20Speeches & TestimonyCommissioner Brian Quintenz Statement of Support for OCR No-Action Relief
GermanyBaFin25-Sep-20Format“Hackers are stepping up their pace”
GermanyBaFin25-Sep-20Format > Unerlaubte GeschäftevPE Wertpapierhandelsbank AG: BaFin hebt Erlaubnis auf
GlobalBIS25-Sep-20BIS speechCatalysing change: central banks and digital innovation
GermanyBaFin25-Sep-20Format“Hackers are stepping up their pace”
GermanyBaFin25-Sep-20Format > Unerlaubte GeschäftevPE Wertpapierhandelsbank AG: BaFin hebt Erlaubnis auf
GlobalBIS25-Sep-20BIS speechCatalysing change: central banks and digital innovation
GlobalBIS25-Sep-20BIS RSSExperienced Economist, Payments and Market Infrastructures
GlobalBIS25-Sep-20Basel CommitteeBasel Committee approves annual G-SIBs assessment, updates workplan to evaluate post-crisis reforms
GlobalFSB25-Sep-20OTC DerivativesLEI ROC to become governance body for OTC derivatives identifiers
GlobalFSB25-Sep-20Accounting and AuditingFSB holds virtual roundtable on external audit
United KingdomFCA25-Sep-20WarningsEisler Capital (Clone of FCA authorised firm)
United KingdomFCA25-Sep-20WarningsFuller-Grant International Consultancy LLC
United KingdomFCA25-Sep-20WarningsUK Fixed Bonds Community
United KingdomFCA25-Sep-20WarningsProperty Income Investor
United KingdomFCA25-Sep-20WarningsISA Advisor
United KingdomFCA25-Sep-20Consultation papersCP20/20: Our Approach to International Firms
United KingdomFCA25-Sep-20Waivers and CRR noticesConsolidated list of waivers, modifications and CRR permissions granted
United KingdomFCA25-Sep-20WarningsISA Advisor
United KingdomFCA25-Sep-20Consultation papersCP20/20: Our Approach to International Firms
United KingdomFCA25-Sep-20Waivers and CRR noticesConsolidated list of waivers, modifications and CRR permissions granted
United KingdomBOE25-Sep-20Bank OvergroundWhat are we doing to help individuals and businesses make faster and cheaper cross-border payments?
United KingdomBOE25-Sep-20StatisticsCapital Issuance - August 2020
United KingdomBOE25-Sep-20PublicationQuarterly Bulletin - 2020 Q3
United KingdomBOE25-Sep-20PublicationThe impact of Covid-19 on businesses’ expectations: evidence from the Decision Maker Panel
European UnionESMA25-Sep-20RSSReport on Budgetary and Financial Management Financial Year 2019
European UnionESMA25-Sep-20RSSFinal Accounts of the European Securities and Markets Authority Financial Year 2019
European UnionESMA25-Sep-20RSSESMA Q&As - list of questions currently under development
European UnionESMA25-Sep-20RSSPublic Statement BMR transitional period - pending applications
European UnionESMA25-Sep-20TradingESMA consults on OTF regime
European UnionESMA25-Sep-20ProspectusESMA reports decrease in prospectus activity for 2019
European UnionESMA25-Sep-20BenchmarksESMA consults on Fees for Benchmarks Administrators

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
RegionRegulators
ArgentinaASC
AustraliaAPRA, ASIC
AustriaFMA
BahamasSCB
BelgiumFSMA
BrazilCVM, CMN
Canada
OFSI
Cayman IslandsCIMA
ChileSBIF
ChinaCBRC, CBIRC, PBOC
DenmarkDFSA
European UnionEBA, ECB, EIOPA, ESMA
FinlandFIN-FSA
FranceACPR, AMF
GermanyBAFIN
GlobalBIS, FSB, FATF, IADI, IOSCO, IASB
Hong KongHKMA, SFC
IndiaSEBI, MCA
IndonesiaOJK
IrelandCBI
ItalyCONSOB
JapanJFSA
KoreaFSC, FSS
LuxembourgCSSF
MalaysiaBNM, SC
Mexico
CNBV
NetherlandsAFM
NorwayFINANSTILSYNET
PolandPFSA, PFOC
PortugalCMNV, BDP
RomaniaASF
SingaporeMAS, PDPC
SpainCNMV
SwedenSFSA
SwitzerlandFINMA
TaiwanFSC, SITCA
ThailandSEC
UKBOE, FCA, PRA, ICO
USCFTC, DOJ, DOL, FED, FINRA, OCC, SEC
VietnamSEC

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.

Finreg-E: Latest Blogs

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.

Read our privacy policy here: finreg-E Privacy Policy.

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