Financial services
As a uniquely regulated industry, financial services firms face increasingly complex challenges. This is your spot for thought leadership, hot takes and guidance on the changes you need to know about.
MORE FINANCIAL SERVICES ARTICLES
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...
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...
How Companies Can Get Ahead Using FedNow
The Federal Reserve’s instant payment system FedNow went live in late July, and dozens of banks and credit unions have...
From Inquiry to Response: What to Do When Regulators Come Knocking for Text Messages
Financial institutions have been hit with billions of dollars’ worth of fines in the past couple of years for failing...
Can We Teach Old Watchdogs New Tricks?
“Dumb Money,” which opens in theaters later this month, tells the story of how retail investors turned GameStop, a struggling...
FCA Review Promises to PEP up Global Banking
UK regulators are set to embark on a review of banks’ so-called PEP lists, rosters of people who, because of...