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Scottish Equity Partners' Investment Set To Fuel RegTech Revolution With FundApps

Scottish Equity Partnersâ Investment Set To Fuel RegTech Revolution With FundApps
Date
11/05/2021
Scottish Equity Partners (SEP) has completed a significant growth equity investment in FundApps, one of the world s most successful Regulatory Technology (RegTech) companies.
As the first ever Compliance-as-a-Service (CaaS) business, FundApps has transformed the way investment managers deal with the regulatory burden by combining cloud technology, regulatory expertise, market data and the unique FundApps Community. Previously, compliance managers were overwhelmed by ever-increasing complexity, but services covering Shareholding Disclosure, Sensitive Industries and Position Limits have truly made compliance simple.
Today, London-headquartered FundApps has over 100 clients, ranging from hedge funds, asset managers and sell-sides, to the world’s largest sovereign wealth funds. Collectively, FundApps’ services monitor over 10% of global assets under man ....

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Statement Of CFTC Commissioner Dan M. Berkovitz On Exchange Rules And Product Terms And Conditions That Fail To Impose Limits On Crude Oil "Trading At Settlement" Transactions

Statement Of CFTC Commissioner Dan M. Berkovitz On Exchange Rules And Product Terms And Conditions That Fail To Impose Limits On Crude Oil "Trading At Settlement" Transactions
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DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, FINRA Releases Exam Piorities: Regulatory Update for March 2021 | Hardin Compliance Consulting LLC

For Investment Advisers
On December 18, 2020, the Department of Labor (DOL) adopted Prohibited Transaction Exemption 2020-02 (“PTE 2020-02”), subjecting 401(k) rollover subject to ERISA’s fiduciary rules (sometimes). The exemption, called Improving Investment Advice for Workers and Retirees, expands the definition of fiduciary advice under ERISA to recommendations about rollovers and IRA investments. So now, in addition to best interest, fiduciary and disclosure standards imposed by the SEC and FINRA, investment advisers, broker-dealers, banks, and insurance companies (“Financial Institutions”) now have to prove compliance with the DOL’s “Impartial Conduct Standards.” Failure to comply can result in substantial penalties.
The exemption went into effect on February 16, 2021, dashing any hopes that President Biden’s administration might revisit or postpone it. But don’t panic if you are not ready. The DOL and the IRS have agreed to extend their non-enfor ....

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FundApps Wins Regulation Asia Award for Excellence

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SINGAPORE, Dec. 15, 2020 /PRNewswire/ Market-leading RegTech provider FundApps announced today that its automated Compliance-as-a-Service Shareholding Disclosure solution has been named
The Best Solution - Shareholding & Position Reporting in the Regulation Asia Awards for Excellence 2020.
The virtual awards ceremony of these prestigious awards took place on Tuesday, December 15, to recognise companies that ensure the highest compliance standards are upheld despite an ever-changing and increasingly complex regulatory landscape. FundApps was selected after a rigorous process, involving Regulation Asia s editorial team and leading industry figures serving as judges on the advisory panel.
Jessica Tjung, who heads up Business Development for FundApps in the Asia Pacific, commented, We are honoured to be recognised for our contribution to help financial institutions comply with the challenges they face due to constantly changing regulations. ....

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