Meet Robert Wilson, SVP, Global Investment Companies Canada, Donnelley Financial Solutions (DFIN)

Tell us a little about your organization and why you got into this space?
 DFIN is a leading global risk and compliance company with the objective of helping our clients make smarter decisions with insightful technology, industry expertise and data insights at every stage of their business and investment lifecycles.
 
We entered the regulatory space in response to the growing demand of the investment companies market, which aligned very closely with our knowledge and expertise, and our ability to support clients globally.

Meet Stephen Preston, Vice President and Co-Founder of Exempt Edge

​Tell us a little about your organization and why you got into this space.
 
​At Exempt Edge we believe that participants of the Private Capital Markets of Canada have been historically underserved when it comes to technological solutions. Because of that, we created a total Software Solution for all participants of the Canadian Private Capital Markets. Our goal is to create robust software solutions specifically designed for Exempt Market Dealers, Mortgage Investment Entities and Issuers raising capital in this space.

Meet Yves-Gabriel Leboeuf, Co-founder and CEO of Flinks

Tell us a little about your organization.
 
Flinks brings open finance to the people and businesses who want it. As such, we are the financial data layer powering the internet.
 
We’re trusted by millions of individuals to securely share their financial information from the institutions that hold their accounts to the third-party providers of their choice.
 
We enable businesses to connect to their customers' financial accounts, enrich this data, and utilize it to deliver better digital products. Serving innovators in lending, fintech, regtech, digital banking, asset management and insurance, we’re quickly becoming a global leader in financial data connectivity and analytics.

Meet Darren Cade - CEO of Arctic Intelligence

​Arctic Intelligence is a multi-award-winning global RegTech firm that has developed multi-jurisdictional enterprise risk assessment software enabling regulated businesses to better assess, document and manage their financial crime risks. Our vision is to be global leaders helping to raise the bar on financial crime risk management by innovating and transforming financial crime risk assessments in an accessible and affordable way to all. We are very passionate about and committed to providing affordable technology solutions that make it easier for companies to reduce their financial crime risks and adhere to their international compliance obligations.

Meet Yvan Proteau, CEO of AlphaCCO
Tell us a little about your organization
​Founded in 2015, Alpha CCO  is a flexible and easy-to-use SaaS platform for automating and operationalizing Governance, Risk and Compliance activities.  It offers:

• greater transparency in the design and application of internal controls
• faster response to regulatory changes
• automatic collection of the necessary evidence in the event of an audit
• management of GRC costs
• reduction in the risks associated with non-compliance

The platform has been designed specifically to meet the GRC needs of fund managers and members of the executive suite, who need a better understanding of their risk exposure.  It is also perfectly suited to meet broader and generic compliance needs, such as compliance with IT security standards, and governance related to social and environmental issues.

Meet Mike Muckley, account executive, Global Relay

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​Tell us a little about your organization and why you got into this space.
Global Relay is the leading provider of compliance archiving, surveillance, eDiscovery and analytics solutions to the global financial services industry and other highly regulated industries. Founded in 1999 to capitalize on the shift to electronic communications and the growing need to store electronic data, our company saw a huge demand for our archiving services after the accounting scandals in the U.S. in 2003, when new rules mandated financial firms to preserve all their business records – electronic communications included. Since then, we’ve been helping financial firms capture their data for compliance recordkeeping and supervision.

​Who are your clients and what types of regulatory challenges are they facing?
We specialize in a single vertical market: the global financial services industry. Our customers include 22 of the top 25 global banks, 70% of U.S. broker-dealers, 70% of North American hedge funds, and most of the major U.S. exchanges. The finance industry is subject to stringent recordkeeping and supervision regulations (such as IIROC, U.S. SEC and FINRA Rules). It is also governed by regulations designed to protect customer data and privacy (GDPR, CCPA) and increase trade transparency and prevent market abuse (MiFID II). We help financial firms address these and other regulatory challenges.
 
What type of emerging technology do you think will have the greatest impact on your business/industry?
Analytics, data visualization, AI and Machine Learning are some of the current or emerging technologies that will impact our industry and customers the most. Used as part of a broader supervision/surveillance program, these technologies enable compliance managers to perform more rigorous, critical and targeted evaluations of employee conduct and business activity through their archived communications. While analytics and data visualization can expose anomalies and trends in messages, AI and Machine Learning-aided supervision can help reduce false positives and increase message-flagging accuracy.
 
Why did you join the CRTA? How do you think the CRTA will help your business?
We believe our CRTA membership will allow us to learn from the experiences of other organizations serving regulated industries in Canada. We also hope to be able share best practices with companies serving not only the finance sector, but also health care, government and public companies.
 

Meet Anand Chavan - Founder and CEO

​​Tell us a little about your organization and why you got into this space.
At ​GuardX​, we help companies extract actionable insights from unstructured data. Our product, ​Foreseer,​ is a cloud-native, ​human-in-the loop​ platform that combines the latest advances in AI/ML algorithms and NLP to extract insights from unstructured documents including PDFs, HTML, webpages, scanner documents, twitter feeds, emails and more at enterprise scale. Our Fortune 500 clients process over twenty million PDF and HTML pages every month with content sourced from 35 countries in 12 different languages.