Tags Financial Services

Tag: Financial Services

Navigating FINRA Renewals: Essential Guide for Financial Firms

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.

Understanding proliferation financing: Key steps for compliance and risk management

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.

Communications compliance: How to stay ahead of the curve

The landscape of financial services faces intensified scrutiny in communications compliance. In an era marked by consistent and assertive regulatory enforcement, a proactive approach...

Navigating the Maze: How AI is Transforming Financial Compliance

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.

Tidal Cyber secures $5m seed investment

Tidal Cyber, a company at the forefront of threat-informed defense, has made a significant leap forward with a $5m seed funding round.

Risk Ledger secures £6.25m series A for cybersecurity supply chain resilience

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 introduces RiskTech.AI Accelerators for efficient financial risk management

Synechron, Inc., a predominant global digital transformation consulting firm, focuses its expertise on the financial services and big technology sectors.

Theta Lake unveils pivotal gaps in digital communication governance and compliance

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).

Financial AI trailblazer Auquan bags $3.5m led by Neotribe Ventures

Auquan, an AI trailblazer in the financial sector, has recently revealed that it successfully closed a seed funding round amounting to $3.5m.

Wealth Club invests £2.4m in Kore to aid regulatory transformation

Kore, a RegTech SaaS platform that enables large financial firms to accelerate regulatory compliance, has secured a significant financial boost.

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