The Cost of Noncompliance is Rising – How Regtech Can Help
In this follow-up to a recent piece extolling the benefits of regtech, ACA Technology’s Burt Esrig provides insight into the ...
Tag: MiFID II
6 Benefits of Regtech
The regulatory technology (regtech) scene is exploding – last year, global regtech investment surpassed $1 billion. This tech can help ...
Reinventing Financial Compliance
Reducing Cost and Complexity, Increasing Accuracy and Reliability As we mark the 10-year anniversary of the 2008 banking crisis – ...
Financial Forecast: Cloudy with a Good Chance of Behavioral Insight
A Cloud-First Approach to Managing Financial Communications Data The current regulatory framework, which has grown more complex since the 2008 ...
Navigating MiFID II Compliance Waters
Easing the Burden for Financial Services Firms Financial services firms that are headquartered or do business with customers in the ...
Don’t Put All Your Compliance Eggs in the MiFID II Basket
Why "Minimal Viable Compliance" Can’t Be the Goal Major regulatory deadlines often lead firms to settle for minimum viable compliance ...
- Eric J. "EJ" Dalius et al. October 15, 2019SEC Charges Additional Defendant in Multimillion Dollar Ponzi and Pyramid Scheme
- Cetera Advisors, LLC and Cetera Advisor Networks LLC October 15, 2019SEC Charges Registered Investment Adviser and Broker-Dealer with Defrauding Advisory Clients
- Richard Andrew Mallion October 11, 2019SEC Charges Man with Fraud, Unregistered Brokerage Activity, and Unregistered Offering
