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 
GermanyBaFin27-Mar-21Veranstaltung > VerbraucherschutzINVEST Stuttgart
United KingdomGOV.UK26-Mar-21Guidance and RegulationAnnual return spreadsheet template for ISA managers
SingaporeMAS26-Mar-21Monographs/Information Papers - Corporate Governance, Representative-related, Advisory and SalesInformation Paper: Good Practices Relating to Disciplinary Action Framework in the Financial Advisory Industry Corporate Governance Representative-related Advisory and Sales
European UnionESMA26-Mar-21Market data, Press ReleasesESMA71-99-1624:ESMA ADVISES ON FRAMEWORK FOR DATA REPORTING SERVICE PROVIDERS
GlobalBIS26-Mar-21Central Bankers SpeechesShaktikanta Das: Financial sector in the new decade
Hong KongHKMA26-Mar-21CircularsComplaints Watch (PDF File, 523.5 KB)
European UnionESMA26-Mar-21Fund Management >Press ReleaseESMA71-99-1603:ESMA consults on the framework for EU Money Market Funds
United KingdomGOV.UK26-Mar-21CMAExtended warranties: what you need to know before you buy
United StatesSEC26-Mar-21Litigation AdminIntegral Technologies, Inc.
GermanyBaFin27-Mar-21Veranstaltung > VerbraucherschutzINVEST Stuttgart
United KingdomGOV.UK26-Mar-21Guidance and RegulationAnnual return spreadsheet template for ISA managers
SingaporeMAS26-Mar-21Monographs/Information Papers - Corporate Governance, Representative-related, Advisory and SalesInformation Paper: Good Practices Relating to Disciplinary Action Framework in the Financial Advisory Industry Corporate Governance Representative-related Advisory and Sales
European UnionESMA26-Mar-21Market data, Press ReleasesESMA71-99-1624:ESMA ADVISES ON FRAMEWORK FOR DATA REPORTING SERVICE PROVIDERS
GlobalBIS26-Mar-21Central Bankers SpeechesShaktikanta Das: Financial sector in the new decade
Hong KongHKMA26-Mar-21CircularsComplaints Watch (PDF File, 523.5 KB)
European UnionESMA26-Mar-21Fund Management >Press ReleaseESMA71-99-1603:ESMA consults on the framework for EU Money Market Funds
United KingdomGOV.UK26-Mar-21CMAExtended warranties: what you need to know before you buy
United StatesSEC26-Mar-21Litigation AdminIntegral Technologies, Inc.
European UnionESMA26-Mar-21Fund Management >Press ReleaseESMA71-99-1603:ESMA consults on the framework for EU Money Market Funds
United KingdomGOV.UK26-Mar-21CMAExtended warranties: what you need to know before you buy
United StatesSEC26-Mar-21Litigation AdminIntegral Technologies, Inc.
European UnionEIOPA26-Mar-21RegulationESAs publish Joint Opinion on jurisdictional scope under the Securitisation Regulation
European UnionESMA26-Mar-21Crowdfunding >ReferenceESMA35-36-2201 response form:Response form to CP on draft technical standards under the ECSP Regulation
European UnionESMA26-Mar-21Board of Supervisors >Summary of ConclusionsESMA22-106-3160:Summary of conclusions Board of Supervisors- 28 January 2021
European UnionESMA26-Mar-21Post Trading >Final ReportESMA43-370-282:Final Report on MiFIR DRSPs fines
Isle Of ManIOMFSA26-Mar-21NewsArrangements for submission of audited financial statements and annual regulatory (or compliance) returns in response to Covid-19 restrictions (2021) (Press Release)
Isle Of ManIOMFSA26-Mar-21NewsAML/CFT Statistical Returns: submissions in 2021 (Press Release)
United KingdomGOV.UK26-Mar-21DCMSAd hoc statistical analysis: 2020/21 Quarter 4
United KingdomGOV.UK26-Mar-21DCMSThe English Institute of Sport Limited annual report 2019 to 2020
European UnionESMA26-Mar-21Market data >Final ReportESMA74-362-1830:Final report on DRSP fees
United KingdomIA26-Mar-21Press ReleaseInvestment management industry outlines position on green gilts
United KingdomFCA26-Mar-21Feedback statementsFS21/7: Open finance
United KingdomFRC26-Mar-21News - Accounting - Corporate Reporting - Financial ReportingFRC announces new approach to publishing corporate reporting reviews
United KingdomGOV.UK26-Mar-21CMACMA secures over £500k for Argos extended warranty customers
United KingdomGOV.UK26-Mar-21CMAHoyer Petrolog / DHL Supply Chain merger inquiry
European UnionESMA26-Mar-21Market data >Final ReportESMA74-362-1917:ESMA advice on the criteria for DRSP
United KingdomBOE26-Mar-21Prudential RegulationPS5/21 | CP4/21 Financial Services Compensation Scheme – Management Expenses Levy Limit 2021/22
United KingdomFCA26-Mar-21Feedback statementsFS21/7: Open finance – feedback statement
European UnionEIOPA26-Mar-21SupervisionEIOPA consults on revised Guidelines on the use of the Legal Entity Identifier
United KingdomGOV.UK26-Mar-21DCMSThe Prime Minister has reappointed James Timpson as a Trustee of the Tate
United KingdomFCA26-Mar-21Feedback statementsFS21/7: Open finance – feedback statement
European UnionEIOPA26-Mar-21SupervisionEIOPA consults on revised Guidelines on the use of the Legal Entity Identifier
United KingdomGOV.UK26-Mar-21DCMSThe Prime Minister has reappointed James Timpson as a Trustee of the Tate
European UnionESMA26-Mar-21Benchmarks >Final ReportESMA43-370-281:Final report_TA on procedural rules for penalties imposed on Benchmark Administrators
United KingdomGOV.UK26-Mar-21CMAFNZ / GBST merger inquiry
European UnionESMA26-Mar-21Securitisation >Q&AJC 2021 19:Joint Committee Q&As relating to the Securitisation Regulation
European UnionEBA26-Mar-21NewsESAs publish Joint Opinion on jurisdictional scope under the Securitisation Regulation
European UnionEBA26-Mar-21NewsESAs publish Q&As on cross-sectoral aspects of the Securitisation Regulation
European UnionESMA26-Mar-21Joint Committee, Securitisation >OpinionJC 2021 16:ESAs’ Opinion to the European Commission on the Jurisdictional Scope of Application of the SECR
European UnionESMA26-Mar-21Joint Committee, SecuritisationESAS PUBLISH Q&AS ON CROSS-SECTORAL ASPECTS OF THE SECURITISATION REGULATION
European UnionESMA26-Mar-21SecuritisationESAs publish Joint Opinion on jurisdictional scope under the Securitisation Regulation

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

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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.

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