Regtech companies to solve compliance and regulatory issues

Analysis

RegTech Universe

Take a closer look at who is orbiting the RegTech space

RegTech (Regulatory Technology) is more than a buzzword, it is a very real movement that is already having an impact on regulatory compliance. Discover our RegTech Universe, where we are compiling a list of RegTech companies along with the technologies and solutions they are offering.

RegTech, the “new Fintech” as we have called it, promises to disrupt the regulatory landscape by providing technologically advanced solutions to the ever increasing demands of compliance within the financial industry.

We would like to share some insights below on a few of the RegTech companies who are providing solutions in the areas of Regulatory Reporting, Risk Management, Identity Management & Control, Compliance, and Transaction Monitoring. You will get an idea of where the RegTech companies are located, their size, when they were founded as well as which industry they are targeting in particular.

Our research on the RegTech Universe is an ongoing exercise and this webpage will be regularly updated with new RegTech companies, so stay tuned!

You can follow us on LinkedIn and Twitter to be sure to catch our next updates, and we would of course be more than happy to hear your take on RegTech, so please do not hesitate to get in touch with us.  

 

Ready for take-off?

We are happy to share with you our take on RegTech as presented during the 2017 ICT spring conference. Watch the video below and come with us on a journey through the RegTech Universe.

Explore the RegTech Universe

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 Regulatory Reporting

Enable automated data distribution and regulatory reporting through big data analytics, real time reporting and cloud

Company Name

Inception

Location

People

Target Industry

Service

28MSEC

2008

USA

1-10

Financial Industry

Technology

Empowers businesses to build real-time reports and analytics from heterogeneous data sources with multiple data structures

Abide Financial

2013

UK

51-200

Financial Industry

Consulting & Technology

A single solution for processing data and distributing regulatory reports to relevant regulatory bodies

Accudelta

2015

Ireland

1-10

Financial Industry

Technology

Data management solution for regulatory reporting and distribution

Arkk Solutions

2009

UK

11-50

Financial Industry

Technology

Reporting software for (AIFMD, FORM PF, Solvency II, COREP, Finrep, HMRC, iXBRL Reporting)

Cappitech

2013

Israel

11-50

Financial Industry

Technology

Trading and reporting solutions to both buy and sell side and for major service providers

Commcise

2013

UK

11-50

Financial Industry

Technology

Commissions management and reporting solution

DeltaconX

N/A

Switzerland

1-10

Financial Industry

Technology

Regulatory software solution to allow meeting regulatory requirements such as EMIR,REMIT and MiFID II.

Funds-Axis

2006

UK

11-50

Investment Funds

Consulting & Technology

Investment compliance monitoring, risk analysis and regulatory reporting technology

Fundsquare

2013

Luxembourg

51-200

Financial Industry

Technology

Solution that provides order management and information service to the fund industry

Hexanika

2013

USA

11-50

Financial Industry

Technology

Regulatory reporting tool based on Big Data Analytics, real time reporting and Cloud

Lombard Risk

1989

UK

200+

Financial Industry

Consulting & Technology

Solutions for automation of regulatory reporting and optimisation of cross-product collateral management to meet regulatory requirements

QuanTemplate

2011

Gibraltar

11-50

Insurance

Technology

Gathers data from disparate sources and employs AI to analyse the information and automatically generate regulatory reports

REGIS-TR

2010

Luxembourg

51-200

Financial Industry

Consulting & Technology

Central trade repository for reporting trades and transactions across multiple product classes for European regulatory reporting requirements

RegTek Solutions

2017

USA

11-50

Financial Industry

Technology

Cloud-based suite of software solutions for regulatory reporting

Silverfinch

1991

UK

51-200

Insurance

Technology

Fund data utility to connect asset managers and insurers for PRIIPS and Solvency II

Taleo Reporting

2015

Luxembourg

1-10

Investment Funds

Technology

Regulatory reporting for funds (CRDIV, FATCA, CRS, Solvency II, AIFMD, EMIR, MIFID II, MIFIR, PRIIPs)

TRADEcho

2016

UK

51-200

Financial Industry

Consulting & Technology

Suite of services for pre and post trade reporting

TransFICC

2016

UK

1-10

Financial Industry

Technology

Trading solutions for the enterprises in the electronic Fixed Income and Derivatives markets to ensure regulatory compliance

Treamo

2010

Austria

1-10

Financial Industry

Consulting & Technology

Cloud-based SaaS solutions for treasury and EMIR reporting

Vizor

2001

Ireland

51-200

Financial Industry

Technology

Enables financial authorities the supervision of financial companies with a web based data submission portal and real-time validation

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 Risk Management

Detect compliance and regulatory risks, assess risk exposure and anticipate future threats

Company Name

Inception

Location

People

Target Industry

Service

AlgoDynamix

2013

UK

1-10

Investment Funds

Technology

Risk analytics that detects disruptive events in global financial markets and anticipates price movements

Algorithmica

1993

Sweden

11-50

Financial Industry

Consulting & Technology

Real-time income pricing analysis and counterparty risk

AlgoSave

2015

Israel

1-10

Financial Industry

Technology

Provides Expected Credit Losses calculations and computation of bank Risk Capital and RAROC

AQMetrics

2012

Ireland

11-50

Financial Industry

Consulting & Technology

Data management and analytics, risk monitoring, compliance workflows and reports

Ayasdi

2008

USA

200+

Financial Industry

Technology

Helps companies use machine intelligence and topical data analysis for risk mitigation and regulatory compliance

Bearingpoint

2002

Netherlands

200+

Financial Industry

Consulting & Technology

Solutions specific to banks, insurers, financial services providers, central banks, and supervisory authorities across the regulatory value chain

Corlytics

2014

USA

11-50

Financial Industry

Technology

Database of US fines since 2009 with analytics on fine trends

CrowdCheck

2012

USA

11-50

Investment Funds

Consulting & Technology

Due diligence and disclosure services for early stage offerings

Fintellix

2006

India

200+

Financial Industry

Technology

Compliance, Risk & Analytics Products and Solutions for the Global Financial Services Industry

Fortia financial solutions

2012

France

1-10

Financial Industry

Technology

Solutions for compliance management, internal control, risk management and reporting

Met Facilities

2013

UK

1-10

Investment Funds

Technology

FCA regulatory hosting umbrella for funds, start-ups, fintechs and financial services firms.

Modelity Technologies

2000

Israel

51-200

Financial Industry

Technology

Platform for financial modelling and portfolio risk analytics

NeoRM

2015

USA

1-10

Financial Industry

Technology

Automates and simplifies the governance and risk management processes

Open Risk

2014

Netherlands

1-10

Financial Industry

Technology

Provides training and risk analysis tools

OpenGamma

2009

UK

11-50

Banking

Technology

Tools for multi-CCP margin calculations, what-if analysis and stress testing

OSIS

2010

Netherlands

11-50

Financial Industry

Technology

Platform for credit risk analysis and credit opinions, asset quality review and stress testing

Percentile

2014

UK

1-10

Financial Industry

Technology

Data management, risk management and stress testing tool

Promapp

2002

New Zealand

51-200

Financial Industry

Technology

Cloud-based risk and compliance management application

Provenir

2004

USA

51-200

Financial Industry

Technology

Risk analytic and decisioning solution.

Redowl

2012

USA

51-200

Financial Industry

Technology

Analsyses structured and unstructured data to provide holistic overviews of human risk and regulatory compliance

RiskSystem

2013

Ireland

1-10

Investment Funds

Technology

Risk management solution for all risks related to AIFMD and UCITS obligations

Scaled risk

2012

France

11-50

Financial Industry

Consulting & Technology

Trading analytics and risk management

Secondfloor

2005

Netherlands

51-200

Insurance

Consulting & Technology

Supplier of Insurance Risk management solutions

Sybenetix

2009

UK

11-50

Financial Industry

Technology

Solution to detect and investigate suspicious trading

Symetrics

2012

Netherlands

11-50

Financial Industry

Technology

Linear and non-linear algorithms to stress-test asset portfolios

Traiana

2000

USA

200+

Financial Industry

Technology

Automated risk management and pre-trade/post-trade processing of listed and over the counter transactions

Visual Risk

2001

Australia

11-50

Financial Industry

Consulting & Technology

Processes and analyses data from various sources to provide trade risk management solutions

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 Identity Management & Control

Facilitate counterparty due diligence and Know Your Customer (KYC) procedures. AML and anti-fraud screening and detection.

Company Name

Inception

Location

People

Target Industry

Service

Accuity

1836

USA

200+

Financial Industry

Consulting & Technology

Services for payment efficiency, compliant transactions, bank counterparty insight and AML screening

Actimize

1999

USA

200+

Financial Industry

Consulting & Technology

Provider of anti-financial crime, risk and compliance solutions

Alacra

1992

USA

51-200

Financial Industry

Consulting & Technology

Workflow applications for client onboarding, client screening, vendor risk management and front office business research

AML Partners

2005

USA

11-50

Financial Industry

Consulting & Technology

KYC, AML/CFT, OFAC, FinCEN314a modules designed to assess and manage behavioural risks and streamline workflows.

Arachnys

2010

UK

11-50

Financial Industry

Technology

Due diligence tool for regulatory and reputational based risk management

Arctic Intelligence

2011

Australia

11-50

Financial Industry

Consulting & Technology

Software to assist organisations in meeting financial crime compliance obligations and manage risk

ComplyAdvantage

2014

UK

51-200

Financial Industry

Technology

Application for AML and KYC

Contego

2011

UK

11-50

Financial Industry

Technology

Risk, compliance & anti-fraud solution

Cynopsis Solutions

2014

UK

1-10

Financial Industry

Consulting & Technology

Governance, Risk & Compliance, Investment Analysis & Portfolio Management solutions

Digital Reasoning

2000

USA

51-200

Financial Industry

Technology

Uses AI and machine learning to analyse customer information from structured and unstructured data sources

DueDil

2011

UK

51-200

Financial Industry

Consulting & Technology

Solution to identify adverse information and to conduct KYC and AML compliance checks

EarlyIQ

2012

USA

1-10

Financial Industry

Technology

On-demand investor due diligence reports

Encompass

2012

UK

51-200

Financial Industry

Technology

KYC software for banking, finance, legal and accountancy businesses.

Fenergo

2009

Ireland

200+

Financial Industry

Consulting & Technology

Regulatory Onboarding, Client & Counterparty Data Management and Client Lifecycle Management solutions

Global Fund Watch

2015

Sweden

1-10

Financial Industry

Technology

Counterparty due-diligence with questionnaires integrated

Intelligo Group

2014

Israel

51-200

Financial Industry

Consulting & Technology

Gathers and analyses data from disparate sources to provide compliance-related information, including due diligence solutions

InvestGlass

2014

Switzerland

11-50

Banking Industry

Technology

Uses AI to automate the profiling of prospective and existing clients

Invoxis

2013

France

11-50

Financial Industry

Technology

KYC, Client-Onboarding, AML, DueDil Investigation & Sectorial Analysis solutions

Know Your Customer

2015

Ireland

11-50

Financial Industry

Technology

Tools for KYC verification using cyber-security technology and international AML databases as well as local micro data-sources.

Kompli

2016

UK

1-10

Financial Industry

Consulting & Technology

Customer Due Dilligence

KoreConX

2013

Canada

11-50

Financial Industry

Technology

Platform to organise, manage and share corporate information to facilitate regulatory compliance

KYC-Chain

2013

Hong Kong

1-10

Financial Industry

Consulting & Technology

KYC-Chain uses distributed ledger technology to provide businesses with secure KYC procedures that gives users ownership of their identity data

KYC3

2014

Luxembourg

1-10

Financial Industry

Technology

Solution for compliance, counterparty risk management and competitive intelligence.

KYC360°

2002

UK

1-10

Financial Industry

Technology

Customer Due Dilligence

KYC Exchange Net

2013

Switzerland

1-10

Banking

Consulting & Technology

Secure communication platform for KYC/CDD purposes

Kyckr

2015

Ireland

11-50

Financial Industry

Technology

KYC due diligence and customer on-boarding

Mitek

1985

USA

51-200

Financial Industry

Technology

Mobile identity verification software solutions

muinmos

2012

Denmark

1-10

Financial Industry

Technology

KYC tool providing businesses with automatic regulatory compliance checks during, and after, the client onboarding process

Onfido

2012

UK

51-200

Financial Industry

Technology

Identity verification and background checks

OpusDatum

2007

UK

11-50

Financial Industry

Technology

Focus on economic sanctions, anti-money laundering, anti-bribery & corruption and financial fraud

PassFort

2015

UK

1-10

Financial Industry

Technology

Customer due diligence (CDD) solution

Risk Ident

2012

Germany

11-50

Financial Industry

Technology

Anti-fraud solutions

Simple KYC

2015

USA

1-10

Financial Industry

Technology

Customer onboarding tools

Signyz

2015

India

11-50

Financial Industry

Technology

Cloud-based real-time client authentication using AI and cryptography

Trade Informatics

2007

USA

11-50

Financial Industry

Consulting & Technology

Cloud-based trade counterparty management solution to meet regulatory compliance

Tradle

2015

UK

1-10

Financial Industry

Technology

Incorporates blockchain technology to facilitate and simplify user-controlled KYC

TransparINT

2013

USA

1-10

Financial Industry

Technology

Money laundering and financial crime public risk information

Trulioo

2011

Canada

11-50

Financial Industry

Technology

Identity verification solutions for Anti-Money Laundering (AML) and Know Your Customer (KYC) processes

Trunomi

2014

USA

11-50

Financial Industry

Technology

Interact with customer personal data using a consent-based data sharing platform

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 Compliance

Real time monitoring and tracking of current state of compliance and upcoming regulations

Company Name

Inception

Location

People

Target Industry

Service

Aesthetic Integration

2014

UK

11-50

Financial Industry

Technology

Analyses financial algorithms to ensure regulatory compliance

Albany Group

2015

UK

1-10

Financial Industry

Technology

Albany's Conect platform makes governance and oversight of third parties effortless

Alyne

2015

Germany

1-10

Financial Industry

Technology

Software as a Service for Cyber Security, Risk Management and Compliance

Aprivacy

2015

Canada

11-50

Financial Industry

Technology

Information security and tracking service. Secure e-statement, secure document sharing and email

AssetLogic

2014

Luxembourg

11-50

Investment Funds

Technology

Online central repository for investment data and documents

AxiomSL

1991

USA

200+

Financial Industry

Consulting & Technology

OIntegrated risk and regulatory compliance platform

Behavox

2014

UK

11-50

Financial Industry

Technology

Compliance reporting and assessment tools, holistic employee monitoring and risk scoring

Bigcontrols

2014

USA

1-10

Financial Industry

Technology

Automated tracking, reporting, and compliance management for government incentives

Capnovum

2014

UK

1-10

Financial Industry

Technology

Regulatoy watch based on artificial intelligence and automation

Checkrecipient

2013

UK

11-50

Financial Industry

Technology

Artificial intelligence and machine learning tool to analyse historical email data and automatically identify anomalies

ClearMash

2008

Israel

11-50

Financial Industry

Technology

Real time knowledge discovery solution for "Proactive compliance assurance" and "Governance & Regulation Intelligence"

ClauseMatch

2012

UK

11-50

Financial Industry

Technology

Online document management and collaboration for Compliance, Legal, Finance, Operations and Risk teams

Comply365

2008

USA

51-200

Financial Industry

Technology

SaaS platform for real-time data analytics, audit and flexible reporting, regulatory compliance tracking

ComplySci

2003

USA

11-50

Financial Industry

Technology

Monitor employee risk and automate code of ethics compliance

Continuity Control

2008

USA

51-200

Financial Industry

Technology

Continuity automates the compliance management process, offering workflow solutions and regulatory alerts.

CoVi Analytics

2015

UK

1-10

Financial Industry

Technology

Regulatory compliance solution and workflow management

CUBE

2012

UK

51-200

Financial Industry

Consulting & Technology

Compliance regulatory watch and risk assessment

Darktrace

2013

UK

200+

Financial Industry

Consulting & Technology

Its Enterprise Immune System technology uses AI and machine learning to detects and responds to previously unidentified threats Data Security

Datactics

2007

UK

11-50

Financial Industry

Technology

Risk and compliance data management

DerivativesTech

2015

Germany

11-50

Financial Industry

Technology

Automated production of PRIIPs KIDs

Droit

2012

USA

11-50

Financial Industry

Technology

Provides real-time and automated regulatory compliance intelligence for financial instruments trading

Drooms

2001

Germany

51-200

Financial Industry

Technology

Data room provider that allows highly secured access to confidential documents and safe third party access

Flextrade

1996

USA

200+

Financial Industry

Technology

Order management system for trading with build in compliance tools

FundApps

2010

UK

11-50

Investment Funds

Consulting & Technology

Automated shareholding disclosure and investment restrictions

FusionATCM

2015

Netherlands

1-10

Financial Industry

Technology

Trade management platform with compliance management and regulatory reporting components

Gecko Governance

2014

Ireland

1-10

Investment Funds

Technology

Governance management tool

GFA

2014

Luxembourg

11-50

Investment Funds

Consulting & Technology

Data management platform that provides full oversight capabilities to ensure effective and compliant fund distribution activities

Governance.io

2011

Luxembourg

1-10

Investment Funds

Technology

Governance, Risk and Compliance (GRC) solution dedicated to Investment Fund professionals

GRC Solutions

1999

Australia

11-50

Financial Industry

Consulting & Technology

Online legal compliance training and compliance reviews

Greenkey

2013

USA

11-50

Financial Industry

Technology

Voice-driven collaboration platform with data analytics and workflows

Helm

2015

USA

1-10

Financial Industry

Technology

Real-time compliance analysis, connecting businesses with compliance solutions and regulators

Idisclose

2015

USA

1-10

Financial Industry

Technology

Web-based application to generate legal and regulatory documents for entrepreneurs raising capital

KeeSystem

2009

Monaco

1-10

Financial Industry

Consulting & Technology

Platform to manage compliance and generate reports

Neota Logic

2010

USA

11-50

Financial Industry

Technology

Legal end compliance applications

Netguardians

2007

Switzerland

11-50

Financial Industry

Technology

Automated compliance management software and real-time human behaviour analysis to detect fraud

Neurensic

2015

USA

11-50

Banking Industry

Technology

Legal end compliance applications

Quarule

2014

USA

1-10

Financial Industry

Technology

Compliance and Risk Control tool

Qumram

2011

Switzerland

11-50

Banking

Technology

Digital audit trail of all online, mobile, and social interactions

Red Marker

2015

Australia

1-10

Financial Industry

Technology

Automatic analysis of digital marketing content for compliance risk and workflow solutions for remediation

REGtify

2016

UK

1-10

Investment Funds

Technology

Regulatory Technology Solutions

Seqvoia

2012

Luxembourg

11-50

Investment Funds

Consulting & Technology

Advanced fund data tools, including automated document creation for KIIDs, PRIIPs KIDs, factsheets and fund prospectuses

Suade

2014

UK

11-50

Banking

Technology

Regulatory Technology Solutions

TheMarketsTrust

2013

Luxembourg

11-50

Financial Industry

Consulting & Technology

Regulatory Technology Solutions

Tillr

2015

UK

11-50

Financial Industry

Technology

Web-app that automates and optimises audits, assessments and inspections to assist with regulatory compliance

ViClarity

2008

Ireland

1-10

Financial Industry

Technology

Enterprise risk management and compliance system

Vigitrust

2003

Ireland

11-50

Financial Industry

Consulting & Technology

Cloud-based risk and compliance portals

Voitrax

2014

USA

11-50

Financial Industry

Technology

Analyses voice and other trading communication data to ensure compliance with Dodd-Frank and other regulatory requirements

WordFlow

2013

Australia

11-50

Financial Industry

Technology

Converts rules and regulations from pre-web formats into mobile optimised webpages and links them to related regulations and legislation

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 Transaction Monitoring

Solutions for real time transaction monitoring and auditing. Leverage the benefits of distributed ledger through Blockchain technology and cryptocurrency

Company Name

Inception

Location

People

Target Industry

Service

Alto

2009

Luxembourg

1-10

Financial Industry

Consulting & Technology

Identification of unusual and significant cash flows in investment funds under UCITS and AIFMD

Ancoa

2010

UK

11-50

Financial Industry

Technology

End-to-end integrity validation to prevent risks of market abuse, fraud and operational shortcomings

Chainalysis

2014

USA

11-50

Financial Industry

Technology

Real time analysis of blockchain transactions and the customers behind the transactions

Elliptic

2013

UK

1-10

Financial Industry

Technology

Identification of illicit activity on the Bitcoin blockchain

Feedzai

2009

USA

51-200

Financial Industry

Technology

Incorporates Big Data and machine learning AI to combat fraud and meet compliance in real-time

IdentityMind Global

2011

USA

51-200

Payments & Money Transfer

Consulting & Technology

Risk management solutions to track entities involved in every transaction

Isignthis

2014

Australia

11-50

Payments & Money Transfer

Consulting & Technology

Real time electronic verification of payment instruments with KYC identification of customers, delivering AML/CFT KYC, payments and transaction monitoring

Message Automation

2003

UK

11-50

Financial Industry

Technology

Post trade control solutions

Monetsu

2013

USA

1-10

Payments & Money Transfer

Technology

Solutions for crypto-currencies using an independent approach to blockchain

Neuroware

2014

Malaysia

51-200

Payments & Money Transfer

Technology

Blockchain and distributed ledger solutions

Paymentscompliance

2013

UK

11-50

Payments & Money Transfer

Consulting & Technology

Publication of legal and regulatory changes affecting the global and emerging payments communities

Polycoin

2014

Israel

1-10

Financial Industry

Technology

Risk management and compliance solutions for financial services to manage digital identities and process virtual currencies transactions

Scorechain

2015

Luxembourg

1-10

Financial Industry

Technology

Business intelligence and big data for the blockchain technologies

Skry

2014

USA

1-10

Payments & Money Transfer

Technology

Blockchain analytics and intelligence

SnapSwap

2015

Luxembourg

11-50

Payments & Money Transfer

Technology

Innovative financial products based on cryptographic technologies, cryptocurrencies, and blockchain

Sysnet Global Solutions

1989

Ireland

200+

Financial Industry

Consulting & Technology

Cyber security and compliance solutions

Tradeflow

2014

Ireland

1-10

Financial Industry

Technology

Track trade data over legacy infrastructure and risk alerting

Trapets

2000

Sweden

11-50

Financial Industry

Technology

Automatic transaction surveillance and compliance for the financial industry

Trustev

2013

Ireland

11-50

Financial Industry

Consulting & Technology

Anti-fraud solution

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The current version was published on 13 July 2017.

 

We hope you have gained some valuable insights and would be very happy to hear your feedback or discuss the evolution of RegTech with you personally. Please don’t hesitate to contact us!

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