The Evolution of Compliance
Are you grappling with the practical implications of new technologies? What does it all mean from a regulatory and organizational ...
Tag: MiFID II
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 ...
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- Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz December 5, 2019SEC Charges Iconix Brand Group and Former Top Executives with Accounting Fraud
- Lester Burroughs December 5, 2019SEC Charges Connecticut Man with Defrauding Retail Investors
- SBB Research Group LLC, et al. December 4, 2019SEC Charges Hedge Fund Adviser and Top Executives with Fraud
