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Filtered 31 matching providers

Series B Limited (example company)Pro
This is an example outcome: Businesses produce 30% fewer false positives with Series B, and save on fees vs larger incumbents in the TM space.
Built for SME, Enterprise +1
30% reduction is false positives
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AdclearMarket Conduct
Financial promotions (FinProm) compliance
adclear.ai View listing
Financial promotion compliance, in seconds. Scale your marketing operations while reducing risk. Marketing teams need instant approvals while compliance teams drown in manual reviews. The result? Missed opportunities, increased risk, and frustrated teams on both sides. There's a better way to manage financial promotions. Adclear ensures creative marketing is compliant with FCA regulations, whilst providing an in-depth audit trail for compliance teams. Our AI-powered platform turns days of work into seconds. Instant approvals. Real-time marketing. Zero bottlenecks. Adclear empowers your team to move fast and stay compliant.
Headquarters
United Kingdom
Serves
UK
Founded
2024
Size
11-50
b-nextMarket Conduct
trade and market abuse surveillance
b-next.com View listing
b-next AG is one of the world's leading providers of corporate software in the capital markets trading surveillance and compliance sector. The corporation has around 70 employees. Its customer base in the finance sector includes, among others, renowned banks, brokers, supervisory bodies and energy suppliers. In the 30-year history of the company, several hundred customer projects have been successfully carried out. b-next is represented by its own branch offices in Germany, Great Britain and the United States. The slogan ‘SECURE | PROTECT | COMPLY' stands for the company's powerful and comprehensive solutions covering the entire spectrum of compliance requirements in the capital markets. b-next's products help companies meet regulatory requirements and manage operational risks. The major value driver for b-next are the development of innovative, cloud-based applications as well as the use of artificial intelligence, in particular for a strategic approach to compliance.
Founded
1989
Size
11-50
BehavoxMarket Conduct
Communications surveillance / regulatory archiving
behavox.com View listing
Behavox is an AI-powered data operating platform founded in 2014 and headquartered in London, with additional offices in cities like New York, Tokyo, and Singapore. The company employs 213 people and is led by co-founders Erkin Adylov, Alexander Glasman, Kiryl Trembovolski, and Roman Zelov. Behavox specializes in transforming both structured and unstructured corporate data into actionable insights, helping organizations identify risks, prevent misconduct, and discover business opportunities. The core offering is the Data Operating Platform, which aggregates and analyzes internal data, including communications from email, instant messaging, and video conferencing. This platform is designed to detect illegal and unethical behavior in the workplace. Behavox also provides a suite of security products aimed at supporting compliance, HR, and security teams. The company plans to expand its product line significantly by 2026, including the launch of a trade surveillance platform and additional AI solutions for enterprise-wide insights.
Founded
2014
Size
201-500
BestXMarket Conduct
Best-execution & transaction cost analytics
bestx.co.uk View listing
BestX® is a Technology Company, with a simple fee based model, creating state of the art software to provide real-time, interactive analytics enabling clients to define, achieve and demonstrate Best Execution. We are the Industry Standard for Multi-Asset TCA, covering all asset classes across FX, Fixed Income, Equities, Futures, having been adopted by more than 150 of the world's largest Asset Managers, Hedge Funds, Banks and Non-Bank Liquidity Providers. We provide our clients with a level playing field to enable them to assess and compare the quality of their execution. BestX provides a totally open-architecture analytics service operating autonomously from any liquidity provider or execution venue.
Headquarters
United Kingdom
Serves
UK
Founded
2016
Size
11-50
Capital Market Solutions LLCMarket Conduct
Regulatory reporting & trade surveillance for broker-dealers
capmarketsolutions.com View listing
Capital Market Solutions (CMS), headquartered in New York, USA, is the leading provider of cloud-based regulatory compliance and surveillance solutions built for Broker Dealers, Investment Banks, Exchanges, OMS/EMS providers and ALGO providers. We empower broker-dealers, investment banks, and hedge funds to navigate complex regulatory landscapes with confidence. Our flagship product, the Regulatory Surveillance and Management System (RSMS), delivers seamless CAT/CAIS reporting to FINRA, comprehensive exception management, and robust regulatory insights. With a proven track record of 100% on-time submissions and near-zero rejection rates, we're trusted by industry leaders to streamline their compliance operations. 𝐑𝐒𝐌𝐒 𝐒𝐩𝐞𝐜𝐢𝐚𝐥𝐭𝐢𝐞𝐬: • CAT Reporting • 606 SEC Reporting • CAIS Reporting • Regulatory Compliance Solutions • RSMS Vault SEC 17a-4 Compliance Storage Solution • Trading and Compliance Domain expertise • Cloud-based Compliance Tools and more Introducing RSMS Vault We've launched RSMS Vault, a cloud-based WORM storage platform purpose-built for SEC Rule 17a-4. It combines immutability, encryption at rest, and comprehensive oversight (monitoring, incident tracking, reconciliation, reporting) with seamless RSMS integration giving compliance teams clarity and control. Why Choose Capital Market Solutions: Capital Market Solutions delivers FINRA-certified, AWS-secured compliance solutions with advanced encryption and seamless third-party integrations. Our expert regulatory team simplifies complex CAT/CAIS, surveillance, and SEC 17a-4 requirements ensuring you stay audit-ready and compliant. Trusted by industry leaders like Instinet, Broadridge, and Abel Noser, we're redefining regulatory excellence through innovation and expertise. 📍 New York, USA | 🌐 https://capmarketsolutions.com/ | 📧 sales@capmarketsolutions.com
Headquarters
United States
Serves
North America
Size
1-10
CC
CellTrust CorporationMarket Conduct
Compliant mobile communications capture & archive
celltrust.com View listing
CellTrust Corporation is a global leader in mobile communications security and compliance, focusing on highly regulated industries. Founded in 2006 and based in Scottsdale, Arizona, the company specializes in secure mobile communication solutions that help enterprises maintain regulatory compliance while enhancing mobile productivity. With 99 mobile technology patents, CellTrust was established by pioneers in Internet and mobile security. The company's flagship product, the SL2 Enterprise Capture™ platform, offers compliant text messaging and voice communication tailored for organizations with strict regulatory requirements. Key offerings include SecureSMS® for secure text messaging, SecureVoice™ for voice communication, and solutions for mobile communication archiving and protection. CellTrust serves various sectors, including financial services, government, healthcare, and education, operating in over 200 countries and supporting compliance across multiple regulatory frameworks. Sean Moshir, the Co-founder and CEO, leads the company with extensive cybersecurity expertise.
Headquarters
United States
Serves
North America
Founded
2006
Size
11-50
CustodiaMarket Conduct
Regulated communications capture & archiving
custodiatechnology.com View listing
We are a pioneering company developing next-generation solutions for capturing, validating, and archiving regulated data from diverse sources, including voice communications, messaging applications, and operational technology (OT) systems. Our mission is to empower businesses with compliant, efficient, and innovative data management tools that meet stringent regulatory requirements.
Headquarters
United Kingdom
Serves
UK
Founded
2017
Size
51-200
DeepViewMarket Conduct
communications archiving and surveillance (WhatsApp/iMessage/SMS capture)
deepview.com View listing
DeepView is a global RegTech SaaS platform. Focusing on capturing work messages across digital channels. DeepView's patented ChatGuard tool enables users to set up and capture WhatsApp within 3 minutes. Additionally DeepView provides capture of Telegram, iMessage, text, SMS and calls. DeepView's inhouse product & tech team is continuously developing new channels to keep up with the growing landscape of communication channels
Headquarters
United Kingdom
Serves
UK
Founded
2018
Size
1-10
eflowMarket Conduct
Trade & communications surveillance, reg reporting
eflowglobal.com View listing
Founded in 2004, eflow provides financial firms with technology solutions to help them comply with their regulatory requirements in a more streamlined, efficient and robust way. It offers award-winning solutions for market abuse surveillance, best execution, transaction-cost analysis, transaction reporting and eComms surveillance. The company currently services over 140 clients across five continents, providing both buy-side and sell-side firms with highly configurable digital tools that are designed to keep them compliant and competitive in this ever-changing regulatory landscape. eflow's regulatory solutions are delivered through a PATH, a unique digital ecosystem that offers the speed, convenience and efficiency of off-the-shelf software, combined with a level of customisation that is typically only associated with a bespoke platform.
Headquarters
United Kingdom
Serves
UK
Founded
2004
Size
51-200
EntredaMarket Conduct
Cyber compliance for financial firms
entreda.com View listing
Founded in 2011 with offices in Redwood City, Entreda is the leading provider of comprehensive cybersecurity software, systems, and training to the independent financial advice and other regulated industries. Its Unify platform monitors endpoints on client networks, and automatically remediates cybersecurity vulnerabilities in real time. Within the Unify platform Entreda also offers advanced network vulnerability scanning and penetration testing capabilities. Entreda's proprietary Cyber Risk Number safeguards client enterprises' data by evaluating users' cybersecurity posture and restricting access for those that do not meet standards. Additionally, the Third-Party Risk Management program extends the same level of scrutiny to outside service and technology providers who access client enterprises' networks. Entreda also offers security awareness training for users, along with simulated phishing exercises. Entreda's senior leadership team has over 100 years of combined experience in cybersecurity technology and 40 years of combined experience in the financial services (RIAs and Broker Dealers) and Healthcare industries. Entreda won the Wealth Management Industry Award for Top Cybersecurity vendor in 2019 and 2020 and was named in the 2021 T3 Inside Information Advisor Software Survey as the market leader for cybersecurity resources. Entreda was acquired by Smarsh in May 2020. Smarsh is the recognized global leader in electronic communications archiving solutions for regulated organizations. Smarsh provides innovative capture, archiving, e-discovery, and supervision solutions across the industry's widest breadth of communication channels.
Headquarters
United States
Serves
North America
Founded
2011
Size
1-10
EV
EventusMarket Conduct
Trade surveillance & regulatory monitoring
eventus.com View listing
Eventus provides state-of-the-art, at-scale trade surveillance software across all lines of defense. Its powerful, award-winning Validus platform is easy to deploy, customize and operate across equities, options, futures, foreign exchange (FX), fixed income and digital asset markets. Validus is proven in the most complex, high-volume and real-time environments of Eventus' rapidly growing client base, including tier-1 banks, broker-dealers, futures commission merchants (FCMs), proprietary trading groups, market centers, buy-side institutions, energy and commodity trading firms, and regulators. Client's rely on the platform, coupled with the firm's responsive support and product development, to overcome its most pressing trade surveillance regulatory challenges. For more, visit www.eventus.com.
Headquarters
United States
Serves
North America
Founded
2015
Size
51-200
Fingerprint Communications ComplianceMarket Conduct
communications surveillance & compliance
fingerprint-compliance.tech View listing
We are a compliance automation technology provider, delivering massive efficiency boosts to Regulated Firms and Compliance Service Providers. Our unique multi-tenant compliance platform, Fingerprint Supervision, supports directly regulated businesses of all shapes, sizes as well as their Compliance service providers. We offer a single login environment to identify, triage and manage the risk within an entire cohort of electronic communications data and voice. Providing a coherent policy framework and KPI reporting to evidence that risks are being mitigated in a proportionate manner. Our unique technology provides service businesses that advise, support and service regulated industries (think Principal firms, Regulatory Hosts, Outsourced CCOs and Compliance Consultants) to conduct a single login oversight over multiple Client or Appointed Representative networks. This creates huge value and additional profitability - in a cost efficient and scalable manner. We're always keen to speak with like-minded business' looking to strike up strategic partnerships to strengthen our mutual product offering - we have a fully open API, and our development team are some of the best in the business, Let's chat about possibilities!
Headquarters
United Kingdom
Serves
UK
Founded
2016
Size
1-10
FC
Finliti CorporationMarket Conduct, Compliance Management
The best way forward is a small, paid fall pilot—not a broad “let’s work together” discussion. Finliti could provide the
finliti.com View listing
Headquarters
Canada
Founded
2019
Size
1-10
FinspectorMarket Conduct
Financial marketing/promotions compliance
finspector.ai View listing
Finspector is a financial compliance software company based in the United Kingdom. It specializes in automating the inspection and monitoring of financial promotions to ensure they meet regulatory requirements. The company was incorporated on March 4, 2025, and operates under the SIC code for other information technology service activities. Finspector's main product is the Financial Promotions Dashboard, which offers a comprehensive platform for managing compliance. Key features include automated compliance inspections that quickly identify potential risks, seamless AI integration that provides tailored feedback, and thorough logging and auditing of all interactions. The platform also continuously monitors social media channels like Twitter, TikTok, and Instagram for compliance risks and maintains a record of financial promotions for internal teams and regulators. Finspector primarily serves marketing and compliance teams within financial services organizations.
Headquarters
United Kingdom
Serves
UK
Founded
2024
Size
1-10
GreenboardMarket Conduct
SEC/FINRA compliance platform
greenboard.com View listing
Fintechs, private funds, and wealth managers all use Greenboard to consolidate compliance software functionality onto a single modern platform that uses AI to detect risk and reduce tedium.
Headquarters
United States
Serves
North America
Founded
2023
Size
11-50
IF Informatica S.r.l.Market Conduct
Regulatory reporting & market-abuse surveillance
ifinformatica.it View listing
The company develop and sales software for financial institutions. The offer includes solutions for trading, order routing, program trading, arbitrage, position keeping and risk management for both property and client (instutional, private and retail) desks.
Headquarters
Italy
Serves
Europe
Founded
2001
Size
11-50
IE
Invest EdgeMarket Conduct
Compliance & trade surveillance platform
investedge.com View listing
InvestEdge is a wealth management platform that offers portfolio management, rebalancing and client reporting solutions to financial institutions.
Headquarters
United States
Serves
North America
Founded
2000
Size
1-10
KneipMarket Conduct
Fund data and regulatory reporting
kneip.com View listing
Kneip Communication S.A. is a prominent provider of fund data management and reporting solutions for the asset management industry. Founded in 1993 and headquartered in Luxembourg, Kneip specializes in helping clients efficiently manage data, ensure regulatory compliance, and simplify lifecycle complexities. The company became a subsidiary of Deutsche Börse Group in March 2022. Kneip offers a centralized, cloud-based platform that aggregates, formats, and disseminates fund data and regulatory reporting documents. Their core services include fund data management, regulatory reporting, data analytics, and advisory services. Kneip serves over 400 asset managers globally, handling more than 10,000 funds across various sectors, including insurance companies and banks. With a focus on reducing risks and controlling costs, Kneip enables clients to meet their regulatory obligations and streamline data workflows effectively.
Headquarters
Luxembourg
Serves
Europe
Founded
1993
Size
51-200
LeapXpertMarket Conduct
Communications capture, governance & compliance
leapxpert.com View listing
LeapXpert is the leader in Responsible Business Communication. Its platform enables enterprise employees to communicate with third parties on consumer messaging channels while ensuring that every conversation is captured, governed, compliant, and securely retained as enterprise data. Built on this trusted foundation, LeapXpert unlocks Communication Data Intelligence, applying AI to transform data into enterprise-wide productivity, workflow automation, and actionable insight. Recognized by Gartner as a Visionary and trusted by hundreds of global enterprises, LeapXpert is an award-winning innovator redefining how organizations communicate responsibly at scale.
Founded
2017
Size
51-200
LitLingoMarket Conduct
Communications surveillance & compliance monitoring
litlingo.com View listing
LitLingo Technologies is an AI-driven communication risk management platform based in Austin, Texas. Founded in 2019, the company was established by experienced leaders from Uber and operates with a small team of fewer than 25 employees. LitLingo has successfully raised $7.5 million in Series A funding. The company offers a real-time AI communication analytics platform that analyzes digital communications to identify risky language and prevent compliance violations. It integrates with popular workplace tools like Gmail, Slack, Zendesk, and Microsoft O365. Key features include real-time language analysis, message blocking, compliance alerts, and insights into organizational communication patterns. LitLingo primarily serves Global 1000 companies, helping them reduce communication-related risks, enhance compliance, and strengthen their organizational culture. The company is led by CEO Neil Etheridge, who has extensive experience in technology and leadership.
Headquarters
United States
Serves
North America
Founded
2019
Size
1-10
MailSPECMarket Conduct
communications compliance and governance (archiving/eDiscovery)
mailspec.com View listing
We provide compliance for communications with AI governance in Office365 and more through our SDK. We repatriate sensitive communications and classify data for regulations with an on client policy engine. Organizations trust MailSPEC for privacy technology when it matters most.
Headquarters
United States
Serves
North America
Founded
2019
Size
11-50
MAP FinTechMarket Conduct
Regulatory reporting & trade surveillance
complyport.tech View listing
Welcome to Complyport – the global RegTech and regulatory excellence brand of the ComplyMAP Group. Operating under a single, integrated global identity, Complyport is a powerhouse in Governance, Risk, Compliance and RegTech. With over 25 years of heritage and more than 1,500 successful regulatory authorisations, we transform compliance from a regulatory obligation into a strategic, technology-enabled advantage. We deliver seamless, cross-border services through five strategic jurisdictions: •United Kingdom (Global Headquarters) •European Union •UAE •Mauritius •India Complyport Tech is the technology and RegTech solutions division of Complyport, delivering advanced regulatory technology, transaction reporting, compliance monitoring, AI-driven automation, and digital resilience solutions to regulated financial services firms worldwide. Our tech products suite includes: • Regulatory Reporting & Trade Surveillance: Global RegTech solutions covering Transaction Reporting, Tax Reporting and Trade Surveillance.  • ComplyPortal: GRC Platform for compliance management and oversight.   • Agentic AI platform powered by ViCA: compliance AI assistant for instant regulatory insight • COMPDEFAI:  GRC and operational resilience solution • UnifyInsure: Unified digital insurance operations platform • GRC eLearning: Structured training designed to keep teams aligned with regulatory expectations With a global headcount exceeding 260 professionals, we partner with wholesale and retail financial firms across Europe, the UK, the Middle East and Asia. Complyport is part of the FCA/PRA Skilled Persons' Panel, appointed across eight specialised lots reflecting our status as a trusted, regulator-approved consultancy. It has also been assessed and approved by HM Revenue & Customs Economic Crime Supervision and is HMRC registered as a company service provider for Anti-Money Laundering purposes. Navigate complexity. Scale with confidence. Partner with Complyport
Founded
2013
Size
11-50
MI
MirrorWebMarket Conduct
Communications supervision & archiving (surveillance)
mirrorweb.com View listing
MirrorWeb is a global provider of digital communications archiving and compliance software, founded in 2012 in Manchester, England. The company specializes in helping organizations in regulated industries, such as financial services and government, meet strict regulatory requirements. With headquarters in Austin, Texas, and a presence in multiple countries, MirrorWeb offers a cloud-based platform that captures, archives, and monitors various forms of digital communication, including web, email, SMS, instant messaging, and social media. The flagship product, MirrorWeb Insight, provides real-time monitoring and tamper-proof archiving of digital communications. This platform ensures compliance with regulations like SEC, FINRA, and MiFID, enabling organizations to be audit-ready at any moment. MirrorWeb's services include comprehensive digital content archiving, compliance supervision, and secure data replication, making it a vital partner for firms needing to manage their digital communications effectively. With a dedicated team of approximately 81 employees and significant funding, MirrorWeb continues to lead in the digital communications compliance space.
Founded
2016
Size
51-200
ShieldMarket Conduct
Communications surveillance / market abuse
shieldfc.com View listing
Shield, also known as Shield FC, is a RegTech company that specializes in compliance solutions for the financial services industry. Founded in 2018 by Shiran Weitzman and Ofir Shabtai, Shield is headquartered in Ramat Gan, Israel, with additional offices in Tel Aviv, London, and Copenhagen. The company focuses on automating the communications compliance lifecycle to help financial institutions manage risks related to financial crime and regulatory breaches. Shield offers a comprehensive workplace intelligence platform that includes services such as eComms surveillance, proactive surveillance and supervision, compliance data management, and tools for discovery and investigations. Its flagship product features an AI-powered compliance platform that provides a 360-degree view of electronic communications and financial data. This platform utilizes advanced technologies like Artificial Intelligence, Natural Language Processing, and machine learning to enhance compliance efficiency and effectiveness. Targeting banks, investment firms, and other regulated industries, Shield aims to support organizations in adhering to global regulations and preventing insider trading. The company has raised approximately $35 million in funding and is focused on expanding its presence in North America.
Founded
2018
Size
51-200

Showing 1-25 of 31 providers