Financial Regulatory compliance


IT Solutions for Financial regulatory compliance industry

Financial regulatory compliance in Europe refers to the set of rules and regulations that financial institutions operating in the European Union (EU) must comply with. These regulations cover a wide range of areas, including data protection, anti-money laundering, consumer protection, and prudential regulation.

Some of the key financial regulatory compliance requirements in Europe include:

  1. Markets in Financial Instruments Directive II (MiFID II): This directive aims to increase transparency and investor protection in the EU’s financial markets. It applies to investment firms, trading venues, and other entities involved in the trading of financial instruments.
  2. European Market Infrastructure Regulation (EMIR): This regulation aims to increase transparency and reduce risk in the derivatives market. It requires companies to report all derivatives trades to a trade repository and to clear certain types of derivatives through a central counterparty.
  3. Anti-Money Laundering Directive (AMLD): This directive sets out rules for preventing money laundering and terrorist financing. It requires companies to identify and verify the identity of their customers and report suspicious transactions.
  4. General Data Protection Regulation (GDPR): This regulation sets out the rules for how companies collect, process, and store personal data of EU citizens. It applies to all companies, regardless of where they are based, that process personal data of EU residents.
  5. Capital Requirements Directive (CRD IV): This directive sets out the rules for the amount of capital that banks and other financial institutions must hold to ensure their financial stability.

Compliance with these and other regulations is essential for financial institutions operating in Europe. Failure to comply with these regulations can result in financial penalties, legal action, and damage to the institution’s reputation


The industry sectors we served include

  • bank-notes-2448_bd66c927-7837-4dbf-bc25-d49656dfe619

    Transaction Reporting

    MiFIR, MiFID and EMIR regulations, reporting to BaFIN

  • bank-cards-2445_a1e87fce-3f73-4202-9204-4ad23d9ce522

    ECB managed settlement

    T2, T2S and TIPS


Our expertise

At Induseuro, we have worked on various topics related to Financial regulatory compliance in Europe. We have worked on transaction reporting and compliance of wide range of financial products such Exchange traded derivative, OTCs, exotic products etc.

Our key offerings in this area are:

  1. Regulatory gap analysis: IT consulting firms can help financial institutions identify gaps in their existing regulatory compliance programs and develop plans to address them.
  2. System implementation and integration: IT consulting firms can help financial institutions implement and integrate technology systems that support compliance with regulatory requirements, such as transaction reporting or anti-money laundering (AML) systems.
  3. Data management and analysis: IT consulting firms can help financial institutions manage, analyze, and report data required by regulatory authorities. They can help establish data governance policies, implement data quality controls, and develop reporting tools and dashboards.
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