Tags Regulatory

Tag: regulatory

Navigating the maze of policy management in finance: A technological compass

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.

What are some of the key upcoming US tax regulatory impacts?

In order to ensure compliance with evolving regulations and guidelines that govern the financial industry, it is vital to monitor regulatory changes.

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).

How FinTech’s rise demands a proactive approach to regulatory management

Flagright recently took a deep dive into the topic of firms adopting a proactive approach to regulatory change management. 

eComms are in the regulatory spotlight—is your firm ready to stand...

MyComplianceOffice (MCO) recently took a deep dive into the topic of eComms regulation and whether businesses are ready for it.

The significance of effective risk assessment and control

Adapting to emerging threats requires a comprehensive understanding of identification, translation, and assessment. Developing the Business Wide-Risk Assessment (BWRA) into a core part of our operations can greatly aid this process.

How to stay ahead of the regulatory curve in 2023

In a time when regulatory trends and developments and changing rapidly, its more important than ever to keep your eye on the ball.

Why on-hold procedures for regulatory reporting are important

With regulatory reporting being vital for every company, RegTech firm Point Nine has established an automated on-hold procedure to be activated in the event of any failure.

FinTech CEOs call on regulators to speed up Kalifa review reforms

More than 70 FinTech CEOs have called on regulators and the UK government to speed up the reforms of the Kalifa review for the FinTech sector in an open letter.

HKMA unveils new guide to aid banks with RegTech solution implementation

The Hong Kong Monetary Authority (HKMA) has introduced a Regtech Adoption Practice Guide that aims to offer banks with guidance on how to implement RegTech solutions.

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