Regulatory RM

Meet your regulatory and compliance requirements.

With a rapidly growing number of regulations, regulatory risk and compliance is fundamentally important to how a firm operates.

KRM22 today provides Irisium Surveillance and Ascent RegTech through the Global Risk Platform to help you meet your regulatory and compliance requirements.

We will be expanding our regulatory application portfolio, to cover eight primary regulatory risk components.

Ascent Regtech Regulatory Compliance

Automate the most frustrating, expensive and error-prone aspects of your regulatory compliance program.

Irisium Surveillance

Prevent, detect and manage the risk of market manipulation across markets, functions and asset classes.

Communication Surveillance

We will provide tools to proactively monitor electronic and voice communications on the trading floor, and automatically raise alerts for non-compliant activities.

Regulatory Reporting

We will provide tools to support the provisioning of all regulatory reports in a timely manner, which can then be monitored through the Risk Cockpit.

Anti Money Laundering

We will provide tools to stay compliant with AML and counter-terrorist financing regulations, including checks against sanctioned lists, screening of politically exposed persons and ultimate beneficial owners.

Know Your Customer

We will provide tools to verify the identity of customers to support on-boarding and due diligence requirements, reducing the cost and time.

Senior Manager & Certification Regime

We will provide tools to ensure that individuals can comply with their obligations under the SMR.

Behavioural Analytics

We will provide tools to identify outlying behaviours and patterns against individual benchmarks using advanced analytics, enabling preemptive discovery of suspicious trading behaviour.

Our solutions are aimed at executives and senior managers providing actionable insights, intelligence and transparency of high priority regulatory events, protecting the firm and individuals from regulatory violations and enforcement actions.

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