Financial Services

Solicitation is viewed broadly to include calls, emails, research distribution, conference sponsorships and investor meetings in the US

Alert narratives with citations for every point may offer even more transparency than human adjudicators can provide

Trio of major developments — the national risk assessment, Treasury's consultation response and draft regulatory amendments — mark a strategic pivot

Moving fast and breaking things works in software; it poses catastrophe in financial services

Readiness assessments and strategic guardrails separate transformative adoption from costly failures

The savings and loan crisis, 2008 financial collapse and 2023 bank failures all followed the same script: deregulation, excessive risk-taking, crisis, bailout and eventually, stricter regulation. Elaine Duffus of Wolters Kluwer has watched this cycle repeat throughout her career — until now. For the first time in modern banking history, we're responding to crisis with less oversight rather than more,...

Financial institutions have learned expensive lessons about the cost of treating vendor oversight as a one-time exercise

Workers increasingly abandon 9-to-5 schedules as employers offer flexible options

A recent bipartisan law in the US sets a foundation of regulatory ground rules to cryptocurrencies focused on stablecoins, custody and federal oversight.

Cybersecurity, AI & supply chains rise on directors’ agendas; nearly one-third of workers have witnessed workplace violence

Sample-based reviews could become a thing of the past

Regulators want to see that firms’ policies work in the real world