Tag: Dodd Frank

Transaction reporting is a necessary requirement for countless regulations, and yet Novatus Advisory co-founder Matthew Ranson believes many firms are getting this process wrong, and they might not even be aware of it.

Firms facing transaction reporting obligations often find themselves navigating multiple regulatory regimes such as MiFID II, EMIR, Dodd Frank, and ASIC. Despite awareness of their duties, many aren't doing enough to meet the stringent regulatory standards.

The US top market regulator has awarded $900,000 to a whistleblower who identified securities law violations overseas.

Video communication has become a particularly useful tool for businesses these days. However, using it comes attached with several laws and regulations to follow.

Building a communication monitoring platform which leveraged AI and machine learning from the ground up and covered the full spectrum of voice, video, chat, and text based communication was essential in the creation of Theta Lake

The Securities and Exchange Commission (SEC) has adopted new recordkeeping and reporting rules for security-based swap dealers and major-based swap participants which increase the need of tracking.

Numerous regulations around the world are requiring firms to track their communication methods and have easy access to the necessary information.

ActiveViam, a data analytics solution for the finance and retail markets, has closed an undisclosed investment from Guidepost Growth Equity.

Communication monitoring and compliance platform Theta Lake has offered its five-step guide for financial services looking to improve their compliance with recordings.

Communication compliance solution provider Theta Lake has partnered with Red Box to help more companies detect compliance risks in audio files.