JWG’s RegTech Capital Markets Conference – 7 March 2018

Our Sponsors

AQMetrics enables simple, reliable and cost effective risk management and regulatory compliance through the use of technology. Our cloud platform uses smart technology to integrate risk and regulatory solutions, allowing our clients to stay compliant with existing and emerging regulations.

Aquis Technologies is the software and technology division of Aquis Exchange Limited. It creates and licenses cost-effective matching engine and trade surveillance technology for banks, brokers, investment firms and exchanges.

Calimere Point Risk Advisory (“CPRA”) is a consultancy staffed by highly experienced investment banking professionals with senior exposure to front office, risk and finance functions

Our banking heritage means that we offer tangible and directly relevant experience to help our clients deliver regulatory solutions

In addition to a deep knowledge of the Investment Banking and Asset Management businesses, Calimere Point consultants also utilise cutting edge data analytics technologies to deliver real business value

The theme is consistent: hands-on consultants with direct, real banking experience who address complex collections of data, using this data to enhance business profitability. Less PowerPoint and more analysis

The use of a powerful data analytics toolkit enables Calimere Point to use their financial markets expertise to accelerate and complete complex and time constrained data projects for investment banking clients

ClauseMatch is an award-winning London-based financial technology company that provides a software-as-a-service platform for smart document management. Its flagship product is a next-gen innovative online editor which brings an unprecedented productivity for Finance, Compliance, Legal, Operations and Risk teams saving millions in terms of time and resources, while significantly reducing risk and providing accountability.


ClauseMatch works as a real-time browser-based collaborative document editor containing at its core a detailed workflow, where comments, approvals, and changes are a part of a full audit trail. That brings complete control of content, streamlines complex workflows, removing human error for better insight for senior management. Every change and approval made in a document is tracked in an organised manner providing full visibility and ground-breaking reporting capabilities.

Corporater is a flexible, configurable technology platform, enabling organisations to take control across various regulations including the Senior Manager and Certification Regime and GDPR. With over 1000 clients, Corporater empowers stakeholders to orchestrate, execute and monitor regulatory responsibilities, in-sync with day-to-day business activities. For details, please contact: Jon Clare (clare@corporater.com)

Governor Software.
With offices in Dublin, London and New York, Governor Software Ltd supports senior risk and compliance executives at financial institutions, maintain governance and oversight, through clear visualisation of their regulatory obligations and risk appetite.

Founded in 2015 by CEO Richard Pike, the Governor Software team have first-hand experience of the production and oversight of governance information within financial institutions. Empowered with this unique knowledge, Governor Software have taken a fresh approach to addressing these challenges; using visualisation technology to efficiently tackle the issues associated with governance and oversight in their entirety.

Governor Software believe the opportunity for compliance and risk professionals to make governance and oversight a more robust and effective process is significant.

Do visit us at www.governorsoftware.com or follow-us on LinkedIn.

Hitachi Vantara offers an integrated portfolio of Financial Services Technology, and RegTech solutions that enable digital transformation through enhanced data management, governance, mobility and analytics. We help global organisations open new revenue streams, increase efficiencies, improve customer experience and ensure rapid time to market in the digital age. Only Hitachi Vantara can power the digital enterprise by integrating the best information technology and operational technology from across the Hitachi Vantara family of companies. We use this experience and our expertise to deliver the exceptional insight which  Financial Services organisations need to transform, thrive and navigate the complexities of the regulatory, risk and compliance landscape.  Visit us at https://www.hitachivantara.com/en-us/home.html

Kaizen Reporting provides industry leading data testing services that help financial institutions comply with their regulatory reporting obligations. Kaizen’s award-winning ReportShield™ quality assurance service gives firms confidence in the quality, accuracy, completeness, and transparency of their reporting. Combining detailed regulatory knowledge with data science, ReportShield™ safeguards against regulatory risk and reduces the burden on management, delivering independent quality assurance that addresses the ever-growing challenges presented by regulation. To find out more please visit our website or LinkedIn community.

Lavastorm powers enterprise-grade business applications with Agile Analytics to help businesses gain a competitive advantage by unlocking the potential of their data. Lavastorm is the only solution that combines data preparation with robust analytics for augmenting data-centric applications with integrated automation and governance.

Our collaborative solution empowers businesses to quickly, easily, and accurately build analytical applications at scale, across multiple, disparate data sources. This innovative approach enables IT, data experts, and business-process-owners to extract, prepare, and analyze data from disparate sources and deliver these applications to end users.

We are a company of talented and dedicated strategists, technologists, engineers, and business professionals that employ a combination of the right mindset, skillset, and toolset to overcome complex challenges in an agile way. By creating the most useful, most powerful, and yet most intuitive business analytics tools, we will ultimately change the fundamental practice of extracting insight and value from complex enterprise data.

Lysis Financial provides services across Governance, Risk and Compliance, including regulatory remediation, enterprise-wide risk management frameworks, design of client on-boarding and anti-money laundering target operating models and compliance policies and procedures to global financial institutions and other financial services companies, regulated institutions and industries.

Lysis Operations is an innovative, AML and KYC service company which operates globally, serving major global investment banks, financial service institutions and other regulated industries, including estate agency businesses and buy-side firms. We deliver efficient and cost-effective KYC and AML processing, remediation and client on-boarding. Our ability to scale to meet our clients’ needs is matched by our proactive and highly responsive customer service.

Lysis Academy provides comprehensive AML, and Governance Risk and Compliance training via Public and Bespoke Courses to individuals and to banks, financial services firms and estate agencies. Our Bespoke courses can be delivered in-house or in clients’ offices worldwide. Lysis Academy also collaborates with Cass Business School Executive Education to deliver the Cass Post-Graduate Certificate in Anti-Money Laundering.

Unify your information to reduce risk, enhance customer service, and save money
Whether you’re in capital markets, banking, or insurance, you rely on data every day to make decisions and get results for your clients and your firm. But are you really using all the data that you could be using? And, are you getting it fast enough to make a difference or to satisfy regulatory needs? MarkLogic’s Enterprise NoSQL database platform equips you to easily combine complex multi-structured and unstructured data, and make that data securely available anytime, anywhere.
Regardless of sector, all financial services organizations need to:
  • Store and manage a variety of data types from disparate sources
  • Make information useful and accessible in real-time for multiple audiences
  • Ensure compliance with regulatory mandates


Imagine what you could accomplish with a real-time 360-degree view of customers, trades, or other key information across multiple channels, instrument types, transactions, and interactions. MarkLogic equips you with a single source of truth and puts your enterprise goals within reach:
  • Simplify management of middle and back office operations
  • Deliver better customer service
  • Proactively spot irregular activity to help reduce fraud
  • Adhere to regulatory compliance mandates such as Dodd-Frank, Volcker, and KYC/AML
  • Lower your costs

NICE (Nasdaq:NICE) is the worldwide leading provider of both cloud and on-premises enterprise software solutions that empower organizations to make smarter decisions based on advanced analytics of structured and unstructured data. NICE helps organizations of all sizes deliver better customer service, ensure compliance, combat fraud and safeguard citizens. Over 25,000 organizations in more than 150 countries, including over 85 of the Fortune 100 companies, are using NICE solutions. More info on www.nice.com and www.HolisticSurveillance.com

Pendo Systems has been providing software solutions to the financial services industry since 2007. Based in Montclair, New Jersey with offices in Charlotte, NC, the Pendo senior management team has decades of experience developing, selling and supporting enterprise software solutions to global banks, insurance companies, and asset management firms.

The Pendo Machine Learning Platform is a production tool that enables our customers to quickly turn their unstructured documents into structured, AI-ready datasets at machine scale. The Platform combines a set of proprietary algorithms with repeatable, controlled analysis of documents so customers can immediately classify their unstructured data and unlock the insights trapped inside millions of mission-critical documents.

Pendo Systems is certified as a Women’s Business Enterprise by the Women’s Business Enterprise National Council (WBENC), the nation’s largest third-party certifier of the businesses owned and operated by women in the U.S.

RegTek.Solutions’ mission is to be at the heart of the market’s transformation to sustainable compliance.

Targeting Quality, Completeness, Accuracy and Transparency, RegTek.Solutions mutualises the cost and shoulders the burden of tracking and implementing critical regulatory reporting solutions.

Working with all market stakeholders, RegTek.Solutions combines independent, market-validated actionable regulatory intelligence, with proven technologies, to offer pragmatic, modular solutions to financial institutions and intermediaries facing regulatory reporting challenges.

RequirementONE is a pioneer in delivering advanced regulatory technology solutions that empower firms to achieve their compliance commitments through collaboration, automation and superior artificial intelligence.

We do away with point systems which only add unnecessary complexity and expense to your IT infrastructure. Instead, our customers orchestrate their compliance activities on one platform. This allows you to better organise, disseminate, design and monitor regulatory information and compliance procedures.

Our unique AI engines help you update your processes automatically and in real-time, based on changes to regulatory compliance initiatives around the world.

RequirementONE integrates seamlessly into your existing technology infrastructure, meaning your IT department will love us too!

All of this ensures you’re not only compliant where you need to be, but you’re deploying your human capital more efficiently, reducing fines and penalties, reducing costs and most importantly, maintaining your reputation with your customers.

Smartlogic’s Semaphore is an enterprise grade semantic platform that allows organizations to realize the business value of their information.

By leveraging a common vocabulary and sophisticated semantic techniques Semaphore:

  • Enriches information assets with precise, complete and consistent metadata
  • Extracts facts, entities and relationships to drive analytics and workflows
  • Harmonizes all information sources to gain business insight

Semaphore brings structure to the unstructured, scales to manage organizational volumes and supports industry-standard semantic vocabularies.

Semaphore’s model-driven, rule-based semantic approach solves complex business problems that traditional technologies cannot. It integrates into and enhances the capabilities of existing technology to improve time to value for new opportunities.

Global organizations in the energy, healthcare, life sciences, financial services, government & intelligence, media and publishing and high tech manufacturing industries use Semaphore every day to enrich enterprise information with context and meaning. Semaphore extracts critical facts, entities and relationships to power case management, workflows and advanced analytics. It harmonizes different data types from disparate sources to create logical data warehouses with a true semantic layer.

Synechron is a global consulting and technology organization providing innovative solutions to the financial services industry through its three main business focus areas: digital, business consulting, and technology. Based in New York, the company has 18 offices around the globe, with over 8,000+ employees producing over $500+M in annual revenue. For more information on the Company please visit the website or our LinkedIn community.

TickSmith helps financial institutions meet a wide range of compliance regulations by providing a comprehensive Big Data Lake platform, TickVault. It is ideal for processing and analyzing large magnitudes of sensitive data required for compliance regulations (such as MiFID II, FRTB, etc.) TickVault can produce timestamps validations, aggregate corporate bonds, and consolidate tick history in a single repository so the data is easily made available via APIs.

TickVault integrates with customers’ infrastructures to make shared data the center of their architecture. It can be deployed in a client’s data center on their existing Hadoop cluster in house or on the Cloud. The TickVault platform already provides solutions to many financial institutions including National Bank of Canada, Nasdaq CX, and CME Group.

Volante Technologies

Since 2001 and with a growing client base of 85+ diverse and international clients, Volante has been focused on addressing the challenges of financial message integration and payments within financial services organisations.

Within the Securities / Capital Markets sector, Volante enables organisations to navigate in an extremely agile manner, the diverse, complex and constantly growing range of message formats, standards and protocol challenges encountered throughout the lifecycle of any financial transaction.  The growing complexity and diversity in regulations has meant an increase in challenges around sourcing, formatting and reporting to demonstrate compliance in a flexible and cost effective manner. Volante’s focus on financial message and data integration along with validation, enrichment and processing means that it is well placed to help financial institutions in this increasingly complex task of regulatory reporting.

Included with Volante products is a growing and maintained library of hundreds of out-of-the-box international and domestic standards plugins, transformations and processor modules – all ready for fast and flexible financial data related implementations.