Easing the Burden for Financial Services Firms Financial services firms that are headquartered or do business with customers in the European Union (EU) have been subject to the Markets in Financial Instruments Directive (MiFID) since its enactment in 2007. But now there is a new wrinkle — an enhanced version of this cornerstone of capital markets regulation. This wrinkle is known as...

Bitcoin and other cryptocurrencies continue to gain ground as investors buy in, looking for high returns, and as acceptance of it as payment takes hold. However, with such growth come risks and challenges that fall firmly under the compliance umbrella and must be addressed in a proactive, rather than reactive, manner. Cryptocurrency Challenges One of the greatest challenges faced by the cryptocurrency...

What Compliance Should Be Doing Now CCI has covered the General Data Protection Regulation (GDPR) extensively, and by now most readers may know that the deadline for GDPR compliance is barreling toward us. Kevin Gibson walks us through what businesses must do to prepare. May 25, 2018, the day on which the General Data Protection Regulation (GDPR) takes effect, is fast approaching....

In the digital arena, it’s “out with the old, in with the new” as technological advancements increasingly compel companies to replace enterprise applications with next-generation ones. However, the process of retiring older applications—from deciding which should be retained in an archive and which should be disposed of, to managing the archiving process and beyond—cannot be executed in anything but the most methodical...

The Financial Industry Regulatory Authority is under the radar for many organizations. Being fully aware of the violations and their consequences can prevent unneeded issues. 

The prospect of record-breaking fines for noncompliance with regulations set by the Financial Industry Regulatory Authority (FINRA) continues to loom large for financial organizations and their CEOs. Executives should take a proactive approach to dodging the FINRA fines bullet. Read on for five practical compliance strategies.

Compliance with FINRA and similar regulations can pose serious challenges to organizations. Understanding and learning to navigate these potential challenges will go a long way in avoiding excess fines for non-compliance.

The shadow IT phenomenon—in which employees use their personal technology on the job—looms larger than ever. The latest twist- bring your own software.

Information Management vs. Information Governance Do you know the difference between information governance and information management? Kevin Gibson of Hanzo outlines four questions to differentiate between the two concepts. The details below can also help to shape your organization's policies related to GDPR compliance. “Information management” and “information governance” are one and the same. Or are they? The answer is “no” —...

What Compliance Professionals Need to Know About Employee Data The deadline for the General Data Protection Regulation (GDPR) is on the horizon, and a customer's information is not the only thing that should be on a compliance practitioner’s radar. After all, the mishandling of an employee's information can pose as much financial risk – therefore, it is important to understand the potential GDPR...

Is Your Organization Ready — Or at Risk? How would you rate your organization’s GDPR readiness? Hanzo CEO and Chairman Kevin Gibson offers five questions every compliance officer should be considering ahead of next May’s deadline for GDPR compliance. Specializing in heavily regulated industries, Hanzo is the world leader in the legally defensible capture, preservation and analysis of web and social content....