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 ...
Tag: MiFID II
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 ...
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- Daniel Markel January 17, 2020SEC Charges Operator of Substance Abuse Center with Securities Fraud
- Hill International, Inc. et al. January 17, 2020SEC Charges Construction Management Consulting Company and Former Employees with Accounting Fraud
- Allan L. Lundervold January 16, 2020SEC Charges Individual with Acting as an Unregistered Broker
