Tag: Regulation

The importance of robust, clear, and compliant policies and procedures cannot be overstated in the dynamic realm of financial services. These fundamental elements empower firms to align their operations with strategic goals, adhere to regulatory mandates, and cultivate a culture rooted in accountability and transparency.

A recent study from Theta Lake, a pioneer in digital communications governance, found that 69% of IT and compliance professionals expect the use of unified communication and collaboration (UCC) tools to increase in 2024. With firms using an average of 4.6 communication and collaboration tools, it is evident that UCC tools have become an embedded and essential part of modern business, but firms must ensure they are compliantly getting the full value of these tools.

Fenergo's recent webinar, 'KYC, AML, & Onboarding in 2023 – Were Lessons Learned or Do Old Habits Die Hard?', brought together compliance experts to...

In the ever-changing world of risk management, where the challenges are formidable and constantly evolving, the role of risk executives and their teams is...

When the world went into lockdown in 2020 in a bid to stop the spread of Covid-19, many companies went into a state of survival. Many were forced to furlough staff and look for loans to ensure they could weather the storm. Building a new startup might have been the last thing some would think to do during this time, but Vall Herard did just that with Saifr.

Compliance Risk, the sole Governance-as-a-Service solution crafted specifically by MSPs for MSPs, has shared significant updates about its direction in the industry.

The Markets in Crypto-Assets Regulation (MiCA) is setting a precedent, crafting a well-structured framework for regulating crypto-assets throughout the European Union (EU) which are not yet encased by current financial services legislations. 

The SEC has always been at the forefront of regulating firms, ensuring they maintain good marketing practices. Its risk alerts play an instrumental role, offering firms the much-needed guidance to prepare for impending examinations.

Travis Schwab - the CEO of Eventus - the global provider of state-of-the-art, at-scale trade surveillance software across all lines of defense – recently spoke...

In a recent post, Saas firm Diligent detailed that regulatory compliance teams can build better training programs.