SEC Division of Examinations Announces 2021 Examination Priorities
Washington D.C. (March 3, 2021) — The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, ...
Tag: fintech
The Top Regulatory Trends to Watch in 2021
Whether it’s global reforms in combatting financial crime, the impact of Brexit or the acceleration of digitalization in financial services, ...
Know Your Customer Partners with Refinitiv to Add World-Check Data in End-to-End AML and KYC Solution
Hong Kong, Singapore & Dublin (December 9, 2020) – Award-winning RegTech provider Know Your Customer is partnering with Refinitiv, a world-leading provider of financial ...
ACAMS Launches New AML Compliance Certification Program for Fintech Firms
CAFCA establishes a baseline industry standard for FinTechs facing evolving regulatory obligations CHICAGO (December 7, 2020) – In response to the ...
Fintech Pressure on Internal Audit
Banks have long outsourced certain audits, but banking-fintech relationships are new ground. Brandi Reynolds discusses a persistent problem in bank ...
AI Compliance Oversight is Here… and So Are Next-Gen Compliance Officers
Most financial institutions are already on the path to using artificial intelligence in markets surveillance. NICE Actimize’s David Ackerman explores ...
Rethinking the Suspicious Activity Report
Recent coverage of the FinCEN data leak has illuminated the need for an evolution in SAR filing. Hummingbird CEO Joe ...
How the EU Can Usher Its Financial Firms into the Modern Era
Behavox’s Alex Viall explores differing views toward adopting cloud-hosted software by financial services companies in the U.S and EU. Alex ...
Asset Control, Finmechanics Unveil Solution to Accelerate FRTB Implementation
LONDON (August 3, 2020) – Asset Control and Finmechanics have announced a new technology partnership to provide banks with an ...
Data-Sharing Regulations Heat Up in 2020
Access Partnership’s Seha Yatim contributes to the discussion on tech policy trends, offering predictions for increased data-sharing regulations this year. ...
Refinitiv Acquires Scivantage Creating Next-Generation Digital Wealth Management Solutions
Acquisition of Scivantage’s Wealthsqope and Maxit E2E solutions strengthens Refinitiv’s relationship with broker dealers, prime brokerage, clearing firms & bank-brokerage firms. Refinitiv customers to benefit ...
How Regulatory Changes Will Affect Financial Services in 2020: 3 Predictions
What’s next for corporate compliance officers as they navigate balancing regulatory changes, technological advancement, digital fraud and higher customer experience ...
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