Financial Services
In this follow-up to a recent piece extolling the benefits of regtech, ACA Technology’s Burt Esrig provides insight into the state of enforcement in the financial services industry and why regtech is no longer optional. The adoption of regulatory compliance...
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Technology is the future, and the future is now. Oracle’s Sonny Singh discusses how banks are using emerging technologies such as machine learning and graph analytics to improve financial crime investigations and compliance management. The complexity and cost of battling...
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Bressler, Amery & Ross attorneys Kerry Zinn and Jacqueline Aleman discuss the SEC’s recent actions in light of the 2018 Share Class Disclosure (SCD) Initiative, which encourages self-reporting for 12b-1 conflict disclosures. with co-author Jacqueline Aleman In February 2018, the...
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The regulatory technology (regtech) scene is exploding – last year, global regtech investment surpassed $1 billion. This tech can help compliance teams not only keep pace with regulatory changes, but also achieve a significant return on investment. Michael Lehman and...
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Theta Lake’s Marc Gilman reviews some of the key points from a recent FINRA report that resonate for financial institutions and regtech providers. The end of 2018 found the Financial Industry Regulatory Authority (FINRA) busy issuing guidance on several fronts,...
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Eric Johnson, President of Global Investment Markets at Donnelley Financial Solutions (DFIN) outlines six key forces driving change for the financial sector in the year ahead. The financial sector is used to transformation: markets fluctuate, and technology and regulations constantly...
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Peer-to-Peer (P2P) lending is a relatively recent financial innovation that has taken the lending market by storm and fueled financial inclusion. Tata Consultancy Services’ Sasidharan Chandran discusses P2P business models, associated risks and implications of the crowdfunding industry on the...
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Gregory S. Kaufman and Amber S. Unwala of Eversheds Sutherland (US) LLP review enforcement activity by the Commodity Futures Trading Commission (CFTC) in 2018, discuss key enforcement actions and provide insight on what trends companies can expect to see in...
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Moving Beyond Day-to-Day Data Cleansing In the financial services industry, regulation on due process and fit-for-purpose data has grown increasingly prescriptive, and the risks of failing to implement a data quality policy can be far-reaching. In this article, Boyke Baboelal...
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How to Automate Processes with Cognitive Computing Margin lending involves banks accepting credit, market and liquidity risks simultaneously and the risk is primarily dependent on collateral value that is highly dynamic. In the credit life cycle, a number of banks...
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As 2018 draws to a close, we’re taking a look back at some of the most valuable insights our authors have shared. In case you missed it, this is one of the articles our readers couldn’t get enough of this...
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Revolutionizing the Fight Against Financial Crime Artificial intelligence (AI) has the ability to completely transform how banks perform anti-money laundering (AML) and know-your-customer (KYC) compliance. Additionally, for the purposes of anti-money laundering, artificial intelligence systems can mine huge volumes of data...
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- KRM Services, LLC and Roberto J. Clark, Jr. November 8, 2019SEC Charges Man for Defrauding Investors in Surfboard Scheme
- Michael A. Gramins, et al. November 7, 2019SEC Dismisses Claims Against Tyler Peters
- Bolton Securities Corporation d/b/a Bolton Global Asset Management November 6, 2019SEC Charges Investment Adviser for Failing to Disclose Conflicts
