Financial Technology Year

Broadridge Investment Management, Risk & Compliance Solutions
By: Broadridge Financial Solutions
https://www.broadridge.com/financial-services/asset-management/investment-management/compliance/

Comprehensive compliance platform covering regulatory reporting, risk monitoring, trade compliance, AML/KYC, and investor disclosure requirements. The solution helps fund managers streamline compliance processes, manage regulatory change, and provides real-time monitoring for potential violations.

Sovos Regulatory Reporting for Financial Services
By: Sovos
https://www.sovos.com/products/regulatory-reporting/

A comprehensive regulatory reporting solution for investment funds and financial institutions. Covers FATCA, CRS, QI compliance, and various tax information reporting requirements. The platform automates data collection, validation, and secure filing with global tax authorities.

ESMA Reporting Solutions
By: Compliance Solutions Strategies (CSS)
https://www.cssregtech.com/products/esma-reporting-solutions/

A comprehensive solution for AIFMD, SFTR, and MiFID II/MiFIR reporting requirements. Includes data aggregation, validation, report generation, and submission to regulators. The solution provides a central repository for regulatory data and full audit trail functionality.

Foreside Compliance Manager
By: Foreside
https://www.foreside.com/solutions/regulatory-compliance/

A compliance solution specifically for investment advisers and fund managers. Features include automated monitoring of portfolio compliance, regulatory filing management, trade surveillance, Code of Ethics administration, and compliance program testing. The solution is tailored to the specific regulatory requirements of fund managers.

Ascent Regulatory Change Management
By: Ascent RegTech
https://www.ascentregtech.com/products/regulatory-change-management/

An AI-powered regulatory compliance solution that automatically identifies regulatory obligations specific to each financial institution. Monitors regulatory changes across multiple jurisdictions, assesses their impact, and creates actionable tasks. The platform helps fund managers ensure they're aware of and compliant with all applicable regulations.

FIS Regulatory Compliance Solutions
By: FIS Global
https://www.fisglobal.com/en/solutions/regulatory-compliance

Provides tools to manage compliance with a range of financial regulations, automate reporting, and conduct risk assessments. Designed to address evolving regulations for fund managers with analytics and reporting capabilities.

Regulatory Compliance Toolkit
By: ACLI
https://www.acli.com/regulatory

A resource that helps financial services firms navigate compliance requirements and mitigate risks associated with regulatory changes. Offers practical tools and insights for effective compliance management.

Compliance Automation Tool
By: RiskFocus
https://www.riskfocus.com/compliance

A robust tool for automating compliance processes and regulatory submissions, designed to enhance transparency and reduce the risk of non-compliance through improved workflow and reporting.

Oracle Financial Services Regulatory Compliance Management
By: Oracle Financial Services
https://www.oracle.com/industries/financial-services/financial-services-regulatory-compliance-management/

Supports enterprises in complying with evolving regulatory requirements. It offers capabilities for audit trail management, data collection, and reporting functionalities across various regulations.

Scivantage Compliance Suite
By: Scivantage
https://www.scivantage.com/compliance/

A comprehensive suite designed to manage compliance processes, automate reporting, and ensure adherence to industry regulations, providing analytics and workflow management.

SS&C Regulatory Reporting Manager
By: SS&C Technologies
https://www.ssctech.com/solutions/risk-and-compliance/regulatory-reporting

Automates regulatory reporting for fund managers, including AIFMD, Form PF, MiFID II, and more. Ensures compliance with international and regional regulations across jurisdictions.

AxiomSL ControllerView
By: Calypso Technology (Adenza)
https://www.adenza.com/axiomsl/platforms/controllerview/

Data aggregation, validation, and end-to-end automation of global regulatory reporting for fund managers, including support for AIFMD, MiFID II, EMIR, and more.

SAS Risk Management for Banking
By: SAS
https://www.sas.com/en_us/software/risk-management-banking.html

SAS provides an integrated solution for credit, market, and operational risk management, featuring predictive analytics, regulatory compliance support, and comprehensive reporting capabilities.

Bloomberg Compliance Manager
By: Bloomberg
https://www.bloomberg.com/professional/product/regulatory-compliance/

A comprehensive compliance solution that helps investment management firms manage regulatory obligations. Features include trade surveillance, compliance testing, regulatory reporting, personal trading oversight, and documentation management. Fully integrated with Bloomberg's data and trading solutions.

Rapptr
By: FundApps
https://www.fundapps.co/products/shareholding-disclosure

A compliance monitoring platform for investment managers covering shareholding disclosure, position limits, and sensitive industries rules across 100+ jurisdictions. Rapptr automatically monitors portfolios for compliance with regulatory thresholds and generates required disclosure forms. The solution is continuously updated to reflect regulatory changes.