Financial Services
SEC Brings Beneficial Ownership Reporting Into the Internet Age
Agency’s slate of new rules shortens filing windows
Bond Reclassification to Create Heavy Lift for Financial Teams in 2024
NAIC definition shift having widespread effect in insurance investing sector
Research: KYC Reviews Cost $2,500+ Per Commercial Client
KYC-focused staffing levels drop 14%
FinServ Cloud Data Management Survey
Cloud impact on total cost, data sharing, governance and more Decision-maker survey FinServ Cloud Data Management Report What’s in this survey report from Alveo: Despite the potential for increased risk due to cloud concentration, a majority of global decision-makers in financial services firms say moving market data to the cloud will reduce their firms’ total cost of ownership, according to...
New Payment Security Standards Call for Modern Approach to Data Discovery & Classification
PCI DSS 4.0 rollout begins in March 2024
Survey Finds Use of Unmonitored Communications Is Rising Despite Blockbuster Fines
Few financial institutions are confident in their approach to communications compliance, research shows
After SEC Flags Compliance Failures, Broker-Dealers Can Follow These Practical Tips to Avoid Penalties
In zeal to land lucrative deals, don’t forget about AML & KYC requirements
Identifying Compliance Blind Spots
Establishing a cohesive risk & compliance framework can help avoid roadblocks
Threats Your Institution Faces Aren’t From the ‘Mad Men’ Era, So Why Are Your Fidelity Bonds?
Common fidelity bonds often don’t cover modern risks
SEC Adopts Sweeping New Private Fund Adviser Rules
Some requirements take effect immediately, and if they hold up in court, compliance will require extensive planning
AI Arms Race: Banking Industry, Cybercriminals Keep Trading Punches
Feel safe in the knowledge that you’re covered by KYC checks? Are you sure about that? An arms race of sorts is brewing between financial institutions and cybercriminals to see whose sophisticated measures will win out. Tamas Kadar of SEON looks at how to defeat advanced techniques like voice phishing and deepfakes.
Your Company Could Be Subject to Chinese Investment Ban — and You May Not Know
The Biden Administration’s pending crackdown on U.S. investment in certain Chinese technologies, part of an increasingly aggressive posture against foreign actors like China and Russia, may be wider in scope than many corporate leaders currently understand. A trio of national security experts from Lowenstein Sandler weigh in on the broader implications for investment firms.
