IBM Promontory

Why the IBM Promontory Deal is Great for RegTech

By now, you might have heard of IBM’s proposed deal to acquire Promontory Financial Group, a risk management and regulatory compliance consulting firm. With this acquisition, IBM gains the knowledge and expertise of Promontory’s 600 global professionals, who will train IBM’s Watson to help Financial Services firms better manage financial risk and compliance. While this is[…]

FIA Panalytics

FIA to Feature Panalytics in Innovators Pavilion

FIA announced that Panalytics is one of 18 companies chosen to exhibit in the 2016 Innovators Pavilion at the Futures and Options Expo in Chicago on Oct. 18-20. Innovators Pavilion showcases startup companies providing forward-thinking solutions for the futures, options and cleared swaps industry. IRVINE, CA — FIA announced that Panalytics is one of 18[…]


5 Key Takeaways from the 2016 FINRA Annual Conference

The 2016 FINRA Annual Conference stood out in many ways, including the roster of speakers and the attendees. Even the quality of the program was very high. As usual, FINRA conferences are about discussing and debating top regulatory concerns, as well as current issues affecting the industry. The 2016 conference wasn’t any different. With the[…]


All You Need to Know About RegTech

Coming in quickly on the heels of FinTech’s pending disruption of the financial services industry, RegTech acts as the answer to a simple problem that’s arisen as the industry has become increasingly data driven, automated, regulated, and volatile. With new regulations springing up and tripping banks with alarming regularity, it behooves all financial services organizations to apply appropriate[…]

Risk and compliance analytics for small and mid-size firms

Risk and compliance analytics for small and midsize firms

Risk and compliance analytics for small and midsize firms We often hear the following questions and comments when discussing risk and compliance analytics with small and midsize firms: I’ve had surveillance tools and processes in place for years, they’re working just fine. We’re a small firm, how can we benefit from risk and compliance analytics? We don’t have[…]


Finra 2016 regulatory and examination priorities: proactive oversight of risk and violations is key

FINRA 2016 Regulatory and Examination Priorities: Proactive Oversight of Risk and Violations is Key On January 5, 2016, FINRA kicked off the new year by publishing the annual FINRA 2016 Regulatory and Examination Priorities letter. This year’s letter highlights three broad topics of significant importance to FINRA: (1) supervision, (2) risk management and controls, and (3) liquidity,[…]