Like Gordian Compliance Solutions

closed 10/30/2019 via BNC Analysis

RIA in a Box LLC, acquired Gordian Compliance Solutions

synopsis: RIA in a Box, a provider of compliance-related software and services for investment advisers with co-headquarters in Cleveland and New York, has made its first acquisition in Gordian Compliance Solutions, a San Francisco-based provider of compliance consulting in the wealth management space.
buyer parent: Aquiline Capital Partners
buyer: RIA in a Box LLC
RIA in a Box is a leading provider of compliance software to the wealth management industry. Approximately 2,000 registered investment advisor (RIA) firms across the US use the platform to manage their compliance procedures more efficiently. "
target: Gordian Compliance Solutions
Gordian provides ongoing compliance support and project based services for Investment Advisers, Private Fund Managers, and Futures Professionals. Their consultants keep up to date on current state and federal regulatory changes and initiatives.
price ($mm)
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closed 4/5/2018 via BusinessWire

ACA Compliance Group, acquired Cordium

synopsis: ACA Compliance Group, a leading provider of risk management and technology solutions that focus on regulatory compliance, performance, financial crime, and cybersecurity, announced that it has acquired Cordium, a leading provider of governance, risk and compliance services to the asset management and securities industry.
buyer parent: Starr Companies
buyer: ACA Compliance Group
ACA Compliance Group is a leading provider of risk management and technology solutions that focus on regulatory compliance, performance, financial crime, and cybersecurity. "
target: Cordium
Cordium is a leading provider of governance, risk and compliance services to the asset management and securities industry.
price ($mm)
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announced 1/17/2018 via BusinessWire

Starr Investment Holdings, LLC, will acquire ACA Compliance Group

synopsis: New Mountain Capital, LLC announced that it has agreed to sell ACA Compliance Group Holdings, LLC to Starr Investment Holdings, LLC. ACA Compliance Group is a leading provider of risk management and technology solutions that focus on regulatory compliance, performance, financial crime, and cyber security.
buyer parent: Starr Companies
buyer: Starr Investment Holdings, LLC
Starr Investment Holdings, LLC, a multi-billion dollar investment adviser, partners with and advises a wide range of institutions and family offices with a focus on long-term, sustained equity capital investments. "
target parent: New Mountain Capital, LLC
target: ACA Compliance Group
ACA Compliance Group is a leading provider of risk management and technology solutions that focus on regulatory compliance, performance, financial crime, and cyber security. ACA serves a diverse base of leading investment advisers, private fund managers, commodity trading advisors, and more.
price ($mm)
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closed 1/18/2017 via Company Press Release

ACA Compliance Group, acquired Telavance

synopsis: ACA Compliance Group, a global leader in providing compliance, cybersecurity, performance, and technology solutions to financial services firms, has acquired Telavance. Telavance provides anti-money laundering risk reviews and related regulatory compliance services and software solutions.
buyer parent: New Mountain Capital, LLC
buyer: ACA Compliance Group
ACA Compliance Group is a leading provider of regulatory compliance products and solutions, cybersecurity and risk assessments, performance services, and technology solutions to regional, national, and global firms in the financial services industry. "
target: Telavance
Telavance is a specialized international consulting firm providing risk and compliance advisory services and software products to the financial community. The firm specializes in anti-money laundering, regulatory compliance, enhanced due diligence, model validations, independent reviews, and more.
price ($mm)
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closed 12/19/2013 via BNC Analysis

New Mountain Capital, LLC, acquired ACA Compliance Group

synopsis: ACA Compliance Group, the leading global regulatory compliance consultancy, announced that it has agreed to partner with New Mountain Capital to further grow and expand its business. While New Mountain will acquire a controlling interest, the firm’s five original founders and partners will maintain a significant investment in the new entity.
buyer: New Mountain Capital, LLC
New Mountain Capital is a New York-based private equity firm investing for long-term capital appreciation through direct investments in growth equity transactions, leveraged acquisitions, and management buyouts. "
target: ACA Compliance Group
ACA Compliance provides expert compliance consulting services to investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers. ACA additionally provides GIPS® verification services and a wide variety of compliance-related educational opportunities.
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closed 6/12/2010 via BNC Analysis

Sovereign Capital Partners LLP, acquired IMS Consulting Limited

synopsis: Sovereign Capital, the UK private equity Buy & Build specialist, announces the acquisition of The IMS Group (“IMS”), a leading provider of consulting and integrated business support to the wholesale asset management and securities industry.
buyer: Sovereign Capital Partners LLP
Sovereign Capital is the UK´s private equity 'Buy & Build' specialist. Sovereign Capital invests in UK-based companies in the support services, education & training and healthcare services sectors. "
target: IMS Consulting Limited
The IMS Group is a market leading provider of regulatory compliance consulting and integrated business support to the asset management and securities industry.
price ($mm)
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closed 12/24/2008 via PR Newswire

Glass Lewis & Co., acquired Washington Analysis Corporation

synopsis: Glass, Lewis & Co., LLC, a leading independent proxy advisory and investment research firm, announced that it has completed the acquisition of Washington Analysis Corporation, a top-rated political and economic advisory firm based in Washington, D.C.
buyer parent: Ontario Teachers Pension Plan
buyer: Glass Lewis & Co.
Glass, Lewis & Co., LLC is a leading research and professional services firm that assists institutions globally that have investment, financial or reputational exposure to public companies. The firm provides research and analysis on more than 13,000 public companies based in 65 countries. "
target parent: Xinhua Finance Limited
target: Washington Analysis Corporation
Founded in 1973, Washington Analysis Corporation (WAC) is the top-rated independent institutional research boutique focused on analyzing and anticipating changes in public policy in US that will impact the financial markets.
price ($mm)
$14
rev ($mm)
EBITDA ($mm)
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closed 3/4/2021 via PR Newswire

TRG Screen, purchased Market Data Reporting business from Jordan & Jordan

synopsis: TRG Screen, the leading provider of enterprise subscription spend management solutions, announced it has acquired the Market Data Reporting (MDR) business from Jordan & Jordan (J&J). Market Data Reporting is a managed services solution focused on providing reporting and related services to ensure compliance with licensing policies.
buyer parent: Pamlico Capital
buyer: TRG Screen
TRG Screen is the leading provider of enterprise subscription management solutions. TRG Screen is uniquely differentiated by its ability to monitor both spend and usage of data and information services including market data, research, software licenses, consulting and other corporate expenses. "
seller: Jordan & Jordan
Market Data Reporting from J&J (Jordan & Jordan) is a managed services solution focused on providing reporting and related services to ensure compliance with licensing, provisioning, distribution and reporting policies.
price ($mm)
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closed 2/19/2019 via GlobeNewswire

ESC Corporate Services Ltd., acquired Securefact

synopsis: ISC announced that its Services segment, through its subsidiary ESC Corporate Services, acquired substantially all of the assets used in the business of Securefact Transaction Services from Securefact. Securefact Transaction develops and markets customer identification, regulatory compliance, secured lending, and digital onboarding software.
buyer parent: Information Services Corporation
buyer: ESC Corporate Services Ltd.
ESC takes a leadership position in providing corporate legal services and public records search/registration services to over 8,000 banks, law firms, fin-techs, auto/equipment leasing captives and insurance/accountant institutions across Canada. "
target: Securefact
The acquisition includes the assets of Securefact Transaction Services, Inc. Securefact Transaction develops and markets customer identification, regulatory compliance, secured lending, and digital onboarding software.
price ($mm)
$5.12
rev ($mm)
EBITDA ($mm)
EV / rev
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announced 7/7/2021 via PR Newswire

Genstar Capital LLC, will acquire Foreside

synopsis: Genstar Capital is to acquire a majority stake in Foreside Financial Group from Lovell Minnick Partners. Foreside provides a robust offering of distribution solutions and governance, risk management and compliance (GRC) solutions to clients in the global asset and wealth management industries.
buyer: Genstar Capital LLC
Genstar Capital is a leading private equity firm that actively invests in high quality companies. Genstar works in partnership with its management teams and its network of strategic advisors to transform its portfolio companies into industry-leading businesses. "
target parent: Lovell Minnick Partners
target: Foreside
Foreside delivers a range of distribution and compliance services to clients in the global asset management industry. Foreside services open- and closed-end funds, exchange-traded products, commodity pools, private placements, investment advisers and registered broker-dealers.
price ($mm)
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closed 9/16/2019 via BusinessWire

MVB Bank, Inc., acquired Chartwell Compliance

synopsis: MVB Financial Corp., the holding company for MVB Bank, Inc., has acquired Chartwell Compliance, a company that provides integrated regulatory compliance, state licensing, financial crimes prevention and enterprise risk management services that include consulting, outsourcing, testing and training solutions.
buyer: MVB Bank, Inc. (MVBF:$126.44)
MVB is a financial holding company. Through its subsidiary, MVB Bank, and the bank’s subsidiaries, MVB Mortgage and the MVB Community Development Corporation, the company provides financial services to individuals and corporate clients in the Mid-Atlantic region and beyond. "
target: Chartwell Compliance
Headquartered in Bethesda, Md., Chartwell Compliance provides integrated regulatory compliance, state licensing, financial crimes prevention and enterprise risk management services that include consulting, outsourcing, testing and training solutions.
price ($mm)
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announced 4/14/2021 via Company Press Release

Sikich LLP, will acquire Process Stream

synopsis: Sikich will acquire the assets of Process Stream, a leader in digital transformation services for regulated industries, including life sciences and insurance. The acquisition of Process Stream advances Sikich's efforts to support businesses with end-to-end technology-enabled professional services.
buyer: Sikich LLP
Sikich is a global company specializing in technology-enabled professional services. With more than 1,000 employees, Sikich draws on a diverse portfolio of technology solutions to deliver transformative digital strategies and ranks as one of the largest CPA firms in the United States. "
target: Process Stream
Process Stream is a leader in digital transformation services for regulated industries, including life sciences and insurance. Process Stream specializes in quality management, IT compliance, and insurtech systems implementations and consulting.
price ($mm)
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closed 2/4/2021 via Company Press Release

AcadiaSoft, acquired Quaternion Risk Management Limited

synopsis: AcadiaSoft Inc., the leading industry provider of risk and collateral management services for the derivatives community, announced it has acquired capital markets consulting and software company Quaternion. Quaternion is a leading provider of highly specialized and advanced risk analytics solutions for the financial services industry.
buyer: AcadiaSoft
AcadiaSoft, Inc. is the leading industry provider of risk management services for the derivatives community. Its industry-wide repository of margin and collateral data helps firms to mitigate financial risk and optimize resources across the entire trade life cycle. "
target: Quaternion Risk Management Limited
Quaternion Risk Management Limited headquartered in Ireland was founded in 2010 by three senior banking professionals with extensive capital markets experience. It is leading provider of highly specialized and advanced risk analytics solutions for the financial services industry.
price ($mm)
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closed 3/13/2018 via BusinessWire

BCG Pension Risk Consultants, Inc., acquired Penbridge Advisors, LLC

synopsis: BCG Pension Risk Consultants, Inc., a leading provider of pension consulting and pension risk transfer (PRT) services, has acquired Penbridge Advisors, LLC, a specialist pension information and advisory services firm and thought leadership provider to the U.S. retirement industry.
buyer: BCG Pension Risk Consultants, Inc.
Founded in 1983, BCG Pension Risk Consultants, Inc. is one of the nation’s premier pension risk consulting firms having advised on over 2,000 defined benefit liability settlements and plan terminations ranging from publicly-traded companies, to privately held, healthcare, banks and not-for-profits. "
target: Penbridge Advisors, LLC
Penbridge Advisors helps defined benefit plan sponsors evaluate plan maintenance efficiency and pension de-risking alternatives. Their services include DB expense analysis and benchmarking, vendor price discovery and searches, pension de-risking assessments, and buyout price monitoring.
price ($mm)
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closed 4/23/2012 via BusinessWire

Fidelity National Information Services Inc., acquired ICS Risk Advisors

synopsis: FIS™, the world’s largest provider of banking and payments technology, announced that it has acquired ICS Risk Advisors. ICS Risk Advisors, a full-service risk management firm, develops, implements, maintains and reviews enterprise risk management and regulatory compliance programs for hundreds of financial institutions.
buyer parent: Fidelity National Financial, Inc.
buyer: Fidelity National Information Services Inc. (FIS:$9,241.00)
Fidelity National Information Services (FIS) is the world’s largest global provider dedicated to banking and payments technologies. With a long history deeply rooted in the financial services sector, FIS serves more than 14,000 institutions in over 100 countries. "
target: ICS Risk Advisors
ICS Risk Advisors is a full-service risk management firm, develops, implements, maintains and reviews enterprise risk management and regulatory compliance programs for hundreds of financial institutions, spanning from the world’s largest financial institutions to community banks.
price ($mm)
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closed 10/30/2019 via BNC Analysis

RIA in a Box LLC, acquired Gordian Compliance Solutions

synopsis: RIA in a Box, a provider of compliance-related software and services for investment advisers with co-headquarters in Cleveland and New York, has made its first acquisition in Gordian Compliance Solutions, a San Francisco-based provider of compliance consulting in the wealth management space.
buyer parent: Aquiline Capital Partners
buyer: RIA in a Box LLC
RIA in a Box is a leading provider of compliance software to the wealth management industry. Approximately 2,000 registered investment advisor (RIA) firms across the US use the platform to manage their compliance procedures more efficiently. "
target: Gordian Compliance Solutions
Gordian provides ongoing compliance support and project based services for Investment Advisers, Private Fund Managers, and Futures Professionals. Their consultants keep up to date on current state and federal regulatory changes and initiatives.
price ($mm)
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closed 5/26/2021 via PR Newswire

RIA in a Box LLC, acquired ITEGRIA

synopsis: RIA in a Box has acquired ITEGRIA, LLC, a leading provider of cloud-based virtual desktop solutions for registered investment advisors (RIA). With the acquisition, RIA in a Box has dramatically enhanced its cybersecurity and operational offerings designed specifically to meet the unique challenges of RIA firms.
buyer parent: Aquiline Capital Partners
buyer: RIA in a Box LLC
RIA in a Box is a leading provider of compliance software to the wealth management industry. Approximately 2,000 registered investment advisor (RIA) firms across the US use the platform to manage their compliance procedures more efficiently. "
target: ITEGRIA
ITEGRIA a provider of cloud-based virtual desktop solutions for registered investment advisors (RIA). The company provides solutions that protect RIA firms from cyberattacks and boost productivity while also maintaining strict regulatory compliance standards.
price ($mm)
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closed 10/30/2019 via BNC Analysis

RIA in a Box LLC, acquired Gordian Compliance Solutions

synopsis: RIA in a Box, a provider of compliance-related software and services for investment advisers with co-headquarters in Cleveland and New York, has made its first acquisition in Gordian Compliance Solutions, a San Francisco-based provider of compliance consulting in the wealth management space.
buyer parent: Aquiline Capital Partners
buyer: RIA in a Box LLC
RIA in a Box is a leading provider of compliance software to the wealth management industry. Approximately 2,000 registered investment advisor (RIA) firms across the US use the platform to manage their compliance procedures more efficiently. "
target: Gordian Compliance Solutions
Gordian provides ongoing compliance support and project based services for Investment Advisers, Private Fund Managers, and Futures Professionals. Their consultants keep up to date on current state and federal regulatory changes and initiatives.
price ($mm)
rev ($mm)
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closed 5/23/2018 via BusinessWire

Aquiline Capital Partners, acquired RIA in a Box LLC

synopsis: Aquiline Capital Partners, a private equity firm, has acquired RIA in a Box, the leading software as a service (SaaS) provider of compliance solutions to the registered investment adviser (RIA) industry. RIA in a Box's compliance software platform allows firms to more efficiently and proactively manage compliance.
buyer: Aquiline Capital Partners
Aquiline Capital Partners is a private equity firm based in New York investing in businesses across the financial services sector in banking and credit, insurance, investment management and markets, and financial technology and services. "
target: RIA in a Box LLC
RIA in a Box is the leading software as a service (SaaS) provider of compliance solutions to the registered investment adviser (RIA) industry. Their compliance software platform allows firms to more efficiently and proactively manage compliance.
price ($mm)
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closed 5/23/2018 via BusinessWire

Aquiline Capital Partners, acquired RIA in a Box LLC

synopsis: Aquiline Capital Partners, a private equity firm, has acquired RIA in a Box, the leading software as a service (SaaS) provider of compliance solutions to the registered investment adviser (RIA) industry. RIA in a Box's compliance software platform allows firms to more efficiently and proactively manage compliance.
buyer: Aquiline Capital Partners
Aquiline Capital Partners is a private equity firm based in New York investing in businesses across the financial services sector in banking and credit, insurance, investment management and markets, and financial technology and services. "
target: RIA in a Box LLC
RIA in a Box is the leading software as a service (SaaS) provider of compliance solutions to the registered investment adviser (RIA) industry. Their compliance software platform allows firms to more efficiently and proactively manage compliance.
price ($mm)
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closed 11/4/2016 via PR Newswire

Broadridge Financial Solutions, Inc., acquired M&O Systems, Inc.

synopsis: Broadridge Financial Solutions, Inc. has expanded its wealth management and U.S. Department of Labor Fiduciary Rule compliance capabilities with the acquisition of M&O Systems, Inc., a leading provider of advisor compensation management solutions that help broker-dealers and wealth management firms support advisors and grow their businesses.
buyer: Broadridge Financial Solutions, Inc. (BR:$4,824.00)
Broadridge Financial Solutions, Inc. is the leading provider of investor communications and technology-driven solutions for broker-dealers, banks, mutual funds and corporate issuers globally. Broadridge provides investor communications, securities processing and operations outsourcing solutions. "
target: M&O Systems, Inc.
Founded in 1977, M&O Systems, Inc. is a leading provider of compensation, sales management, regulatory and business process solutions for retail and institutional broker-dealers, registered investment advisors and insurance agencies.
price ($mm)
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announced 4/10/2019 via Company Press Release

Torstone Technology Ltd, will acquire Percentile

synopsis: Torstone Technology, a leading global provider of post-trade securities and derivatives processing technology, will acquire Percentile, a provider of cloud-based risk and compliance technology to global financial markets. Percentile boosts the performance of risk calculations and provides consistent and centralised access to all risk exposures.
buyer: Torstone Technology Ltd
Torstone is a leading global provider of cross-asset securities and derivatives post-trade processing technology. Torstone’s cloud-based Inferno platform is fast, flexible and future-proof. It enables global financial firms to reduce their costs, achieve greater control, and minimise risk. "
target: Percentile
Percentile is a provider of real-time, cloud-based risk and compliance technology to global financial markets. Percentile’s flagship product, RiskMine, drives alignment between trading desks and risk management and delivers confidence with unprecedented levels of transparency and governance.
price ($mm)
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announced 12/20/2018 via Company Press Release

Gryphon Investors, will acquire RegEd, Inc.

synopsis: Gryphon Investors, a San Francisco-based middle-market private equity firm, announced that it has signed a definitive agreement to acquire RegEd, Inc., the leading provider of compliance and regulatory management services for insurance companies, broker-dealers, banks, and other financial services companies.
buyer: Gryphon Investors
Based in San Francisco, Gryphon Investors is a leading private equity firm focused on profitably growing and competitively enhancing middle-market companies in partnership with experienced management teams. "
target parent: Falfurrias Capital
target: RegEd, Inc.
Founded in 2000 and headquartered in Raleigh, North Carolina, RegEd provides SaaS-based enterprise solutions through a suite of over 25 separate software modules to more than 200 blue-chip customers, including 80% of the top 25 financial services firms.
price ($mm)
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closed 7/18/2018 via BNC Analysis

Prime Trust, acquired FundAmerica Technologies

synopsis: Prime Trust has just purchased crowdfunding regtech specialist FundAmerica. FundAmerica provides SaaS tools and technology to a variety of issuers, broker-dealers, investment advisers, financial institutions and other entities. FundAmerica builds SEC-compliant solutions for technology-based securities offerings.
buyer: Prime Trust
Prime Trust is a blockchain-driven trust company that sees itself disrupting the traditional trust industry in the same way PayPal disrupted merchant processing. The firm serves as a custodian and trustee for personal and corporate trusts, as well as for crowdfunding platforms. "
target: FundAmerica Technologies
FundAmerica provides SaaS tools and technology to a variety of issuers, broker-dealers, investment advisers, financial institutions and other entities. FundAmerica builds SEC-compliant solutions for technology-based securities offerings.
price ($mm)
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closed 4/13/2018 via Company Press Release

ESW Capital, LLC, acquired Firm58

synopsis: ESW Capital, LLC, announced that it has acquired Firm58, one of the most respected names in trading firm and broker dealer back-office automation solutions. Firm58 provides growth-conscious capital markets firms a suite of powerful, web-based automation technologies that improve post-trade processes and increase efficiency.
buyer: ESW Capital, LLC
Based in Austin, Texas, Enterprise Software (ESW) Capital has honed a finely-tuned methodology focused on buying, strengthening, and growing mature business software companies. ESW and its affiliated companies have been in the enterprise software space since 1988. "
target: Firm58
Firm58 simplifies trade operations for capital markets firms. Their web-based financial management software manages the processes associated with fees, commissions and payouts. They offer solutions for billing, profit/expense analysis, commission sharing arrangements and compliance & surveillance.
price ($mm)
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closed 4/11/2017 via BusinessWire

Anju Software, acquired OpenQ

synopsis: Anju Software Inc., a life sciences software platform focused on delivering exceptional business application solutions with outstanding customer support, acquired OpenQ, a leading provider of Key Opinion Leader (KOL) data base and software solutions to manage KOLs. OpenQ has the largest suite of compliance solutions for regulated industries.
buyer: Anju Software
Anju Software is a life sciences software platform focused on delivering exceptional business application solutions with outstanding customer support. Anju was founded by a group of operating and investment professionals with deep domain expertise in the enterprise software sector. "
target: OpenQ
OpenQ enables social and mobile collaboration to create competitive advantage while overcoming compliance and exposure risks. OpenQ is a cloud-based technology and validated-data provider with the largest suite of life sciences- and healthcare-based compliance solutions on the market.
price ($mm)
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closed 10/29/2015 via BNC Analysis

PwC, acquired Kusiri

synopsis: PWC, a company that is committed to delivering quality in assurance, tax and advisory services, has acquired the assets of Kusiri, a technology start-up which provides a forensic data search platform used to discover fraud and for compliance screening.
buyer: PwC
PwC helps organizations and individuals create the value they’re looking for. They are a member of the PwC network of firms in 157 countries with more than 184,000 people. They are committed to delivering quality in assurance, tax and advisory services. "
target: Kusiri
Kusiri is a technology start-up which provides a forensic data search platform used to discover fraud and for compliance screening. Their scalable service is designed to augment and amplify search by providing, in real-time, deeper, faster access to data and advanced data monitoring.
price ($mm)
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closed 10/1/2015 via BusinessWire

Markit Group Ltd., acquired CoreOne Technologies

synopsis: Markit, a provider of financial information services, announced the completion of its acquisition of CoreOne Technologies, a global leading provider of regulatory reporting, index management, data management and prime brokerage services to financial institutions.
buyer: Markit Group Ltd. (MRKT:$1,129.70)
Markit is a leading global diversified provider of financial information services. They provide products that enhance transparency, reduce risk and improve operational efficiency. Their customers include banks, central banks, regulators, auditors, fund administrators and insurance companies. "
target parent: Symphony Technology Group
target: CoreOne Technologies
CoreOne Technologies is a leading provider of regulatory reporting, index management, data management and prime brokerage services to financial institutions. CoreOne delivers proven capabilities in a hosted fashion, through its cutting-edge services RegOne, DeltaOne, VistaOne and PrimeOne.
price ($mm)
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closed 1/13/2014 via Company Press Release

Deutsche Börse Group, acquired Impendium Systems

synopsis: Deutsche Börse Market Data + Services has acquired Impendium Systems, a London-based firm that deploys cloud-based software solutions to help customers’ achieve regulatory compliance in Europe, North America and Asia-Pacific.
buyer: Deutsche Börse Group (XTRA:DB1:$4,444.63)
Deutsche Börse is a data and technology service provider for the securities industry with a product and service offering for issuers, investors, intermediaries and data vendors. The Group covers the entire value chain from trading, through clearing, to settlement and securities custody. "
target: Impendium Systems
Impendium Systems is an enterprise software company operating globally that provides Regulatory Applications to financial and non-financial organizations throughout the world.
price ($mm)
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closed 10/30/2013 via PR Newswire

Delta Data Software, purchased 22c2 Services from SunGard Data Systems Inc.

synopsis: Delta Data Software, Inc., a provider of software solutions, announces that it has completed the acquisition of the 22c2 Services solution of SunGard Data Systems Inc., a leading global software and technology services company.
buyer: Delta Data Software
Delta Data is focused on solving complex challenges in the financial services industry with a 28-year legacy of delivering expertise and proven software solutions and services by handling daily processing and data management complexities for mutual funds and other pooled investment products. "
seller: SunGard Data Systems Inc.
SunGard Data Systems' SunGard Global Network 22c-2 Services provide an organization with a complete solution for managing the regulatory requirements of Rule 22c-2. Delivered over a single, web-based interface, SGN's 22c-2 Services combine secure data storage, analytics and administrative tools.
price ($mm)
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announced 10/22/2012 via PR Newswire

NICE Actimize, will acquire Redkite Financial Markets

synopsis: NICE Systems announced that it has entered into an agreement to acquire Redkite Financial Markets, an emerging provider of real-time, cloud-based institutional trade surveillance solutions. NICE is expected to benefit from the addition of Redkite's innovative, front-office based approach to real-time trade surveillance.
buyer parent: NICE Systems Ltd
buyer: NICE Actimize
NICE Actimize is the world’s largest and broadest financial crime, risk and compliance solutions provider. It provides real-time and cross-channel fraud prevention, anti-money laundering, enterprise investigations, risk management and trading surveillance solutions. "
target: Redkite Financial Markets
Redkite was established to equip financial institutions with the tools and knowledge to better monitor their trading activities in today’s complex market environment. The Company provides tailorable, real-time surveillance solutions to the global banking and brokerage communities.
price ($mm)
$9.02
rev ($mm)
EBITDA ($mm)
EV / rev
EV / EBITDA
closed 11/16/2011 via BusinessWire

The Charles Schwab Corporation, acquired Compliance11, Inc.

synopsis: The Charles Schwab Corporation, a leading provider of financial services, announced the completion of its acquisition of Compliance11, Inc., a provider of compliance software. The acquisition enables Schwab to expand the compliance monitoring and reporting tools it offers to corporate clients.
buyer: The Charles Schwab Corporation (SCHW:$10,615.00)
The Charles Schwab Corporation is a leading provider of financial services. Through its operating subsidiaries, the company provides a full range of securities brokerage, banking, money management and financial advisory services to individual investors and independent investment advisors. "
target: Compliance11, Inc.
Compliance11, Inc., is a leading provider of cloud-based compliance automation software for the financial community. Its products automate employee trading, insider trading surveillance, policy affirmations, employee disclosures, gifts, entertainment, political contributions, and more.
price ($mm)
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closed 6/20/2011 via PR Newswire

DST Systems, Inc., acquired Subserveo, Inc.

synopsis: DST Systems, Inc., a provider of information processing and computer software products and services, announced that it has acquired Subserveo, Inc., a Vancouver, B.C.-based provider of automated compliance and surveillance solutions to broker-dealers and investment advisors throughout the U.S. and Canada.
buyer: DST Systems, Inc. (DST:$2,023.10)
DST Systems, Inc. provides sophisticated information processing and computer software products and services to support the mutual fund, investment management, insurance and healthcare industries. DST also provides integrated print and electronic statement and billing output solutions. "
target: Subserveo, Inc.
Subserveo, Inc. provides complete automated compliance and surveillance solutions to broker-dealers and investment advisors, throughout the U.S. and Canada. Subserveo’s patented offering is relied on by compliance officers, branch managers and business unit supervisors.
price ($mm)
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closed 6/3/2008 via BusinessWire

Triple Point Technology, Inc., acquired Investment Support Systems Inc.

synopsis: Triple Point Technology, the established leader in cross-industry commodity and energy trading, risk management, scheduling and logistics software solutions, has acquired Investment Support Systems Inc., the leading treasury management and regulatory compliance solution provider.
buyer parent: ABRY Partners
buyer: Triple Point Technology, Inc.
Triple Point Technology® is the leading global provider of multi-market commodity and enterprise risk management software solutions. Triple Point's Commodity XL profitably integrates physical and financial markets on a real-time, service-oriented architecture (SOA) platform for commodities. "
target: Investment Support Systems Inc.
Investment Support Systems, Inc. develops and markets treasury and risk management software solutions for energy and commodity derivative industries. It offers in-house and Web-based solutions for derivative hedge accounting and disclosure reporting.
price ($mm)
rev ($mm)
EBITDA ($mm)
EV / rev
EV / EBITDA
closed 1/13/2021 via BusinessWire

IHS Markit Ltd., acquired CappiTech

synopsis: IHS Markit has acquired Cappitech, a privately held Israeli company that provides robust regulatory reporting, best execution analysis and business intelligence solutions, allowing customers to efficiently comply with transaction reporting regulations across multiple jurisdictions in one place.
buyer: IHS Markit Ltd. (INFO:$4,287.80)
UK-based IHS Markit is a world leader in critical information, analytics and solutions for the major industries and markets that drive economies worldwide. The company delivers next-generation information, analytics and solutions to customers in business, finance and government. "
target: CappiTech
Cappitech, a privately held Israeli company, provides robust regulatory reporting, best execution analysis and business intelligence solutions, allowing customers to efficiently comply with transaction reporting regulations across multiple jurisdictions in one place.
price ($mm)
rev ($mm)
EBITDA ($mm)
EV / rev
EV / EBITDA
closed 6/6/2018 via Company Press Release

KRM22, acquired Irisium

synopsis: Cinnober announced that it has sold 60% of its subsidiary, Irisium, to KRM22 plc, the technology and software investment company, with a particular focus on risk management in capital markets. Irisium provides insightful analytics and contextual surveillance to exchanges, regulators, buy and sell side firms.
buyer: KRM22 (AIM:KRM:$1.63)
KRM22 is a London-listed investment company that invests in, and acquires stakes in, selected technology companies with a focus on risk management software to the capital markets sector. "
target parent: Cinnober
target: Irisium
Irisium provides insightful analytics and contextual surveillance to exchanges, regulators, buy and sell side firms. This enables market participants to meet their regulatory and compliance obligations with confidence.
price ($mm)
$3.43*
rev ($mm)
EBITDA ($mm)
EV / rev
EV / EBITDA
closed 5/3/2018 via Company Press Release

IBM Watson Group, acquired Armanta, Inc

synopsis: IBM has acquired Armanta, Inc., a Somerville, N.J.-based provider of aggregation and analytics software to financial services firms. Armanta’s technology platform allows financial institutions to aggregate data across multiple systems. Post-acquisition, IBM plans to integrate Armanta business as part of the Watson Financial Services portfolio.
buyer parent: IBM
buyer: IBM Watson Group
IBM Watson was developed in IBM’s Research labs. Using natural language processing and analytics, Watson processes information akin to how people think, representing a major shift in an organization’s ability to quickly analyze, understand and respond to Big Data. "
target: Armanta, Inc
Armanta, Inc. is a provider of aggregation and analytics software to financial services firms. Armanta’s technology platform allows financial institutions to aggregate data across multiple systems in near real-time speed.
price ($mm)
rev ($mm)
EBITDA ($mm)
EV / rev
EV / EBITDA
closed 4/3/2018 via BusinessWire

Zix Corporation, acquired Erado

synopsis: Zix Corporation (Zix), a leader in email security, has acquired Erado, a provider of archiving, supervision, eDiscovery, and analytics for the financial sector. Erado’s technologies help customers manage and enforce complex compliance and archiving policies.
buyer: Zix Corporation (ZIXI:$210.99)
Zix is a leader in email security. Trusted by influential institutions in healthcare, finance and government, Zix delivers a superior experience and easy-to-use solutions for email encryption and data loss prevention, advanced threat protection, archiving and bring your own device mobile security. "
target: Erado
Founded in 1994, Erado is the pioneer and leading innovator in archiving, supervision, encryption, and compliance solutions to regulated customers worldwide. Erado’s technologies help customers manage and enforce complex compliance and archiving policies.
price ($mm)
rev ($mm)
EBITDA ($mm)
EV / rev
EV / EBITDA
closed 2/19/2019 via GlobeNewswire

ESC Corporate Services Ltd., acquired Securefact

synopsis: ISC announced that its Services segment, through its subsidiary ESC Corporate Services, acquired substantially all of the assets used in the business of Securefact Transaction Services from Securefact. Securefact Transaction develops and markets customer identification, regulatory compliance, secured lending, and digital onboarding software.
buyer parent: Information Services Corporation
buyer: ESC Corporate Services Ltd.
ESC takes a leadership position in providing corporate legal services and public records search/registration services to over 8,000 banks, law firms, fin-techs, auto/equipment leasing captives and insurance/accountant institutions across Canada. "
target: Securefact
The acquisition includes the assets of Securefact Transaction Services, Inc. Securefact Transaction develops and markets customer identification, regulatory compliance, secured lending, and digital onboarding software.
price ($mm)
$5.12
rev ($mm)
EBITDA ($mm)
EV / rev
EV / EBITDA

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