Category: Financial Services

Why Cryptocurrency is So Difficult for the IRS to Regulate

Posted by Clark Sells - August 7, 2018

3 Reasons Crypto Eludes Regulators Cryptocurrency is all the rave right now, which is why…

Read More

Financial Forecast: Cloudy with a Good Chance of Behavioral Insight

Posted by Chris Wooten - July 30, 2018

A Cloud-First Approach to Managing Financial Communications Data The current regulatory framework, which has grown…

Read More

Regulatory Oversight for Cryptocurrency?

Posted by Brandi Reynolds - July 23, 2018

What Crypto Exchangers and Administrators Need to Know U.S. regulators have recently joined with an…

Read More

Sins of the Silo

Posted by Michael Powell - June 25, 2018

Compliance Challenges in Financial Services The financial services sector faces numerous obstacles – especially the…

Read More

In the “Wild West” of Virtual Currencies, Anti-Money Laundering and Sanctions Enforcement is Anything but Virtual

Posted by Sven Stumbauer - June 8, 2018

Opportunities Revolutionize The Current Financial and Commerce System While virtual currencies offer many opportunities to…

Read More

Fintech & Banking: Weighing the Compliance Risks & Rewards

Posted by Krista Morgan - June 4, 2018

Fintech Collaborations on the Rise Fintech-bank partnerships result in growth opportunities. In this article, Krista…

Read More

Is a Stricter Standard of Conduct on the Horizon for Broker-Dealers?

Posted by Darren Mooney - May 17, 2018

Broker-Dealers Navigate New Logistics On the heels of the DOL Fiduciary Rule’s defeat by the…

Read More

Transitioning Away from LIBOR: What Is Coming and What Can We Do Now?

Posted by Neil Bloomfield - May 4, 2018

Concerns Abound in the Financial Markets This article discusses how the potential transition away from…

Read More

Key Topics of Interest to the SEC

Posted by Michael Manley - April 20, 2018

Guidance from Director Dalia Blass Director Dalia Blass of the SEC’s Division of Investment Management…

Read More

Stop the Presses! The Fifth Circuit Vacates the DOL Fiduciary Rule

Posted by George Kostolampros - April 18, 2018

The Fifth Circuit Vacates the DOL Fiduciary Rule On March 15, 2018, the U.S. Court…

Read More

Who Is Watching The Watchmen?

Posted by Philip Bezanson - March 29, 2018

CFTC Penalizes Registrant for Outsourced IT Security Lapses Last month, the CFTC settled charges against…

Read More

Navigating MiFID II Compliance Waters

Posted by Kevin Gibson - March 29, 2018

Easing the Burden for Financial Services Firms Financial services firms that are headquartered or do…

Read More