An Overview of the New Central Securities Depository Regulation
Factor’s Chris Magee illuminates a new EU regulation, discussing what organizations are impacted and what they can do to meet ...
Tag: MiFID II
Global Financial Institution Fines for AML, Data Privacy and MiFID Rise 26% in 2020
APAC region saw single biggest regional increase from $6.6 million in 2019 to $5.1 billion in 2020 London, Dublin, New ...
MiFID II: What’s Next for Firms
MiFID II was designed to provide more protection to investors and greater transparency in Europe’s biggest capital markets. Now, two ...
Smarsh Expands and Enhances Support for Voice Compliance
Provides secure and easy archiving, search and play back of voice content from virtually any recording system, strengthening risk and ...
The Evolution of Compliance
Are you grappling with the practical implications of new technologies? What does it all mean from a regulatory and organizational ...
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 ...
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 ...
