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 Union | ESMA | 25-Sep-20 | MiFID - Secondary Markets, Trading >Consultation Paper | ESMA70-156-2013:Consultation Paper on the functioning of Organised Trading Facilities |
| United States | SEC | 25-Sep-20 | Litigation Release | LR-24919 : SEC Charges North Carolina Man with Insider Trading |
| United States | SEC | 25-Sep-20 | Litigation Release | LR-24918 : Individuals Charged by SEC with Operating an Investment Scheme Targeting the Orthodox Jewish Community Criminally Indicted |
| United States | SEC | 25-Sep-20 | Litigation Release | LR-24917 : SEC Charges Former Mining Executive with Making False Statements |
| United States | SEC | 25-Sep-20 | Press Release | SEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct |
| United States | SEC | 25-Sep-20 | Press Release | SEC Charges Top Executive of California Microcap Company for Misleading Claims Concerning COVID-19 Test and Financial Statements |
| Hong Kong | HKMA | 25-Sep-20 | Press Release | US Dollar Liquidity Facility Tender Notice |
| Hong Kong | HKMA | 25-Sep-20 | Press Release | Fraudulent website related to Airstar Bank Limited |
| Switzerland | FC | 25-Sep-20 | Board of the Swiss Federal Institutes of Technology | 11 new professors appointed at ETH Zurich and EPFL |
| Switzerland | FC | 25-Sep-20 | The Federal Council | Coronavirus: 2021 budget subsequent notifications of CHF 1.4 billion for measures to counter impact of COVID-19 pandemic |
| Switzerland | FC | 25-Sep-20 | The Federal Council | Coronavirus: 2021 budget subsequent notifications of CHF 1.4 billion for measures to counter impact of COVID-19 pandemic |
| Switzerland | FC | 25-Sep-20 | Board of the Swiss Federal Institutes of Technology | Board appoints new members of the Executive Boards of ETH Zurich and EPFL |
| Switzerland | FC | 25-Sep-20 | Federal Department of Foreign Affairs | Federal Councillor Ignazio Cassis holds official working meeting with Foreign Minister Katrin Eggenberger in Vaduz |
| Switzerland | FC | 25-Sep-20 | Federal Office of Public Health | The Swiss Confederation joins the COVAX initiative for the procurement of COVID-19 vaccines |
| Switzerland | FC | 25-Sep-20 | The Federal Council | Coronavirus: 2021 budget subsequent notifications of CHF 1.4 billion for measures to counter impact of COVID-19 pandemic |
| United States | CFTC | 25-Sep-20 | General Press Releases | Release Number 8255-20 |
| United States | CFTC | 25-Sep-20 | Enforcement Press Releases | Release Number 8254-20 Largest Joint Filing Between CFTC and State Regulators in History |
| United States | CFTC | 25-Sep-20 | Speeches & Testimony | Statement of CFTC Chairman Heath P. Tarbert on FSOCs Activities-Based Review of Secondary Mortgage Market Activities |
| United States | CFTC | 25-Sep-20 | Speeches & Testimony | Commissioner Brian Quintenz Statement of Support for OCR No-Action Relief |
| Germany | BaFin | 25-Sep-20 | Format | Hackers are stepping up their pace |
| Germany | BaFin | 25-Sep-20 | Format > Unerlaubte Geschäfte | vPE Wertpapierhandelsbank AG: BaFin hebt Erlaubnis auf |
| Global | BIS | 25-Sep-20 | BIS speech | Catalysing change: central banks and digital innovation |
| Germany | BaFin | 25-Sep-20 | Format | Hackers are stepping up their pace |
| Germany | BaFin | 25-Sep-20 | Format > Unerlaubte Geschäfte | vPE Wertpapierhandelsbank AG: BaFin hebt Erlaubnis auf |
| Global | BIS | 25-Sep-20 | BIS speech | Catalysing change: central banks and digital innovation |
| Global | BIS | 25-Sep-20 | BIS RSS | Experienced Economist, Payments and Market Infrastructures |
| Global | BIS | 25-Sep-20 | Basel Committee | Basel Committee approves annual G-SIBs assessment, updates workplan to evaluate post-crisis reforms |
| Global | FSB | 25-Sep-20 | OTC Derivatives | LEI ROC to become governance body for OTC derivatives identifiers |
| Global | FSB | 25-Sep-20 | Accounting and Auditing | FSB holds virtual roundtable on external audit |
| United Kingdom | FCA | 25-Sep-20 | Warnings | Eisler Capital (Clone of FCA authorised firm) |
| United Kingdom | FCA | 25-Sep-20 | Warnings | Fuller-Grant International Consultancy LLC |
| United Kingdom | FCA | 25-Sep-20 | Warnings | UK Fixed Bonds Community |
| United Kingdom | FCA | 25-Sep-20 | Warnings | Property Income Investor |
| United Kingdom | FCA | 25-Sep-20 | Warnings | ISA Advisor |
| United Kingdom | FCA | 25-Sep-20 | Consultation papers | CP20/20: Our Approach to International Firms |
| United Kingdom | FCA | 25-Sep-20 | Waivers and CRR notices | Consolidated list of waivers, modifications and CRR permissions granted |
| United Kingdom | FCA | 25-Sep-20 | Warnings | ISA Advisor |
| United Kingdom | FCA | 25-Sep-20 | Consultation papers | CP20/20: Our Approach to International Firms |
| United Kingdom | FCA | 25-Sep-20 | Waivers and CRR notices | Consolidated list of waivers, modifications and CRR permissions granted |
| United Kingdom | BOE | 25-Sep-20 | Bank Overground | What are we doing to help individuals and businesses make faster and cheaper cross-border payments? |
| United Kingdom | BOE | 25-Sep-20 | Statistics | Capital Issuance - August 2020 |
| United Kingdom | BOE | 25-Sep-20 | Publication | Quarterly Bulletin - 2020 Q3 |
| United Kingdom | BOE | 25-Sep-20 | Publication | The impact of Covid-19 on businesses expectations: evidence from the Decision Maker Panel |
| European Union | ESMA | 25-Sep-20 | RSS | Report on Budgetary and Financial Management Financial Year 2019 |
| European Union | ESMA | 25-Sep-20 | RSS | Final Accounts of the European Securities and Markets Authority Financial Year 2019 |
| European Union | ESMA | 25-Sep-20 | RSS | ESMA Q&As - list of questions currently under development |
| European Union | ESMA | 25-Sep-20 | RSS | Public Statement BMR transitional period - pending applications |
| European Union | ESMA | 25-Sep-20 | Trading | ESMA consults on OTF regime |
| European Union | ESMA | 25-Sep-20 | Prospectus | ESMA reports decrease in prospectus activity for 2019 |
| European Union | ESMA | 25-Sep-20 | Benchmarks | ESMA 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
| 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.
Finreg-E: Latest Blogs
Finreg-E Awarded Hellios FSQS Qualification
We are extremely proud that Finreg-E has successfully attained Stage 1 and Stage 2 FSQS (Financial...
Finreg-E Digital Rulebooks – An Intelligent FCA Handbook
The FCA’s 2016 Regtech call for input highlighted the desire and benefits for the industry to have...
Call for Input to Regulators – The Benefits Of Building A Common Regulatory Change Publications Structure Across Regulatory Bodies
Building a common shared regulatory data ontology and machine-readable regulation in financial...
Finreg-E Weekly Reg-Roundup – Financial Regulation Made Easy!
Last week ESMA updated its Q&As on the following topics: 1. MiFID II investor protection...
Update on Finreg-E’s Data-driven Covid-19 Lockdown Predictions – UK Lockdown to last until June!
We received very positive feedback on our initial analysis of Covid-19 spread in the UK and the...
Finreg-E’s Data-driven Lockdown Prediction – UK Lockdown will Last Until 28th May!
We decided to pause our data analytics on regulatory publications this weekend and looked at...
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.