Tag: Regulatory Scrutiny

In recent years, off-channel communications have come under the intense scrutiny of regulators like the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). This scrutiny is largely due to the risks these unmonitored communications pose, ranging from compliance issues to gaps in record-keeping that can affect investor protection.

The SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, imposing staggering penalties exceeding $2.5bn.

In the latest episode of Napier AI's podcast series, Paysafe’s former MLRO and Napier AI's data scientist delve into the integration of machine learning (ML) in combating financial crimes within the FinTech sector.

In the rapidly evolving financial services industry, the importance of effective risk assessment is often overlooked.

In a recent post, RegTech firm Eventus outlined key reasons why practitioners must be the key drivers behind trade compliance. 

In a recent post by eFlow Global, the company took a 'deep dive' into the Financial Conduct Authority's Market Watch 73.