Financial Services

Sujata Dasgupta provides an analysis of the upcoming Dutch AML utility – currently under feasibility study – and how it can open up a new world of possibilities in unified transaction monitoring. In the wake of rapidly rising financial crimes,...

The environment for regulatory disclosure management has become increasingly complex in the financial services industry. Messagepoint’s Patrick Kehoe discusses the compliance issues institutions of all sizes face, along with best practices for meeting those challenges. Each time a financial services...

What’s next for corporate compliance officers as they navigate balancing regulatory changes, technological advancement, digital fraud and higher customer experience expectations? OneSpan’s Michael Magrath shares his top corporate compliance predictions for the financial services industry in 2020. The regulatory landscape...

Many global banks and financial institutions would have been delighted if the adage “the numbers speak for themselves” held true to its meaning; it’d save them from deciphering the numbers they generate constantly for various internal and regulatory reporting activities....

As customers increasingly prefer to do their banking via smart devices, it’s time for banks to modernize their approach to customer due diligence. Financial crimes compliance expert Sujata Dasgupta provides a deep dive on smart ID&V solutions for KYC compliance....

The Financial Industry Regulatory Authority (FINRA) has issued its latest report, and the findings could be significant for financial services firms. Theta Lake’s Marc Gilman discusses what organizations need to know. The publication of FINRA’s Report on Examination Findings and...

A compliance officer’s job can be complicated enough, but some financial institutions impose hardship by having too many disparate solutions working on the same problem. CaseWare RCM’s Eric Hansen explains why working in these compliance silos can make it more...

As compliance regulations grow in complexity, organizations will need to both protect their reputation and avoid costly enforcement actions. LexisNexis Risk Solutions’ Leslie Bailey discusses how best to manage the challenge. Anti-money laundering (AML) compliance costs have continued to increase...

Cutting-edge technologies create footprints in all aspects of life, and banking compliance is no exception. Financial crimes compliance expert Sujata Dasgupta looks at the daily impact these technologies have on banks and financial institutions. Financial crimes across the globe have...

Ola Tucker, founder of Compliance Notes, discusses the board of director’s oversight role with respect to a financial institution’s BSA/AML compliance program, as well as the specific responsibilities arising out of that role. Anti-money laundering compliance has been a main...

Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the financial services industry -- and many firms are feeling the impact of the increased scrutiny. Download this summary now to...

What might be among the largest regulatory and compliance burdens organizations face in the near future? Operational Resilience. Protiviti’s Ron Lefferts discusses the need for financial institutions to achieve better standards in order to achieve it.  Operational disruptions are impacting...