Compliance Solution Strategies

CSS is a global RegTech platform delivering a set of comprehensive and complementary technology-enabled regulatory solutions that serve compliance professionals across the financial services industry.


Kaizen Reporting

We are regulatory reporting data experts on a mission to improve the quality of regulatory reporting in the financial services industry. Founded by former regulator Dario Crispini, we’ve combined a deep knowledge of regulation with data science and analytics to develop ReportShield™ a suite of automated testing and controls that ensures the accuracy, completeness and quality of regulatory reporting. Our accuracy testing won a 2017 Queen’s Award for innovation, one of the UK’s highest business accolades. Whether it’s MiFID II, EMIR, Dodd-Frank, or another G20 regulation, we can help you avoid fines and costly remediation – and ultimately, give you peace of mind in your regulatory reporting quality.


Nasdaq Buy-side Compliance

Nasdaq has over 20 years of expertise in the surveillance industry, developing market abuse monitoring and detection technology for market participants. Today, Nasdaq’s Risk & Surveillance solutions provide surveillance to over 150 market participants on the buy and sell-side. Developed specifically for the buy-side community, Nasdaq Buy-side Compliance provides asset managers and hedge funds with the behavioral profiling algorithms needed to effectively address MAR and MiFID II regulatory requirements. The software enables suspicious activities to be flagged more accurately and investigated immediately, reducing false positives by up to 80%, and generating cases that warrant compliance team investigation.


Theta Lake

Theta Lake provides a purpose-built product suite for automatic policy detection of regulatory risks, compliance workflow, and retention for video marketing, video calls, and audio calls.  The Theta Lake suite detects risks in audio, visual, spoken, shown, and shared content in audio and video content.

Using patent-pending technology to normalize relevance in transcription, extract scene content, perform OCR, and do entity analysis, the product suite uses built-in machine learning classifiers to detect regulatory and corporate compliance risks in digital content.  Risks are surfaced in an AI-assisted workflow for compliance personnel to move more quickly and effectively through digital content review and supervision. Essentially, compliance teams can do better review on more video and digital media without dramatically increasing staffing, training, and oversight costs.

Beyond this ability to create 10x increases in compliance approved video for sales and marketing without increased staffing costs, non-compliance costs can be reduced by up to 5%.



VoxSmart are the leading provider of Mobile Surveillance in financial markets. Utilising their proprietary compliance solution, VSmart™, firms can capture, store and record mobile communication on any mobile network, on any mobile platform, in any location to give you the most sophisticated mobile surveillance capability in the world.

The company specialises in helping global institutions capture communications for internal and regulatory compliance including MiFID II and is the provider to capture both WhatsApp and WeChat messages natively on the device.

CEO, Oliver Blower will be giving a short demo at this years conference discussing how firms can increase revenue and reduce cost by empowering mobility within the workforce.


Zeidler Legal Services

Zeidler Legal Services is a technology-driven European law firm. We’re geo-neutral because it’s a better way to serve the asset management industry exclusively. We champion fresh ways to work efficiently with our clients and redefine legal value. Our clients include some of the largest, most respected names in the industry, as well as boutique operators.