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As the end of the year draws near, financial firms are under the gun to complete their annual FINRA and state/jurisdiction registration renewals. With deadlines fast approaching, it's critical to have a robust framework in place for timely, cost-effective, and efficient renewals, not just for this year but for the future as well.
Proliferation Financing (PF) is becoming an increasingly important aspect of the compliance landscape, akin to well-known areas like anti-money laundering (AML) and counter-terrorism financing (CTF). Recently, regulators, particularly in the UK, have begun implementing stricter measures to help businesses identify and mitigate PF risks.
The landscape of financial services faces intensified scrutiny in communications compliance. In an era marked by consistent and assertive regulatory enforcement, a proactive approach...
In the dynamic realm of financial services regulatory compliance, technology isn't just a facilitator—it's a game-changer. The latest industry analysis from GRC 20/20 delves into the transformative effects of AI on financial services compliance, marking a revolutionary departure from traditional practices.
Risk Ledger, a cybersecurity business specialising in supply chain resilience, has successfully closed a £6.25m series A funding round. This injection of capital comes at a critical time when third-party security breaches are at an all-time high.
Synechron, Inc., a predominant global digital transformation consulting firm, focuses its expertise on the financial services and big technology sectors.
A worrying 74% of IT and compliance professionals in the US and UK feat their staff might be using unsupervised communication channels - a rise from 66% in 2022. This finding comes from a pioneering survey has been commissioned for Theta Lake, a premier figure in Digital Communications Governance (DCG).
Auquan, an AI trailblazer in the financial sector, has recently revealed that it successfully closed a seed funding round amounting to $3.5m.
Kore, a RegTech SaaS platform that enables large financial firms to accelerate regulatory compliance, has secured a significant financial boost.