What Financial Firms Must Do to Mitigate the Risks of Digital Communications
Emerging technologies are complicating compliance for financial services firms. Smarsh’s Robert Cruz, an expert on information governance and regulatory compliance, ...
Tag: regtech
Outdated Technology Preventing Banks from Investing in Disruptive Technologies
Recent research from Fenergo reveals that banks’ C-suite executives overwhelmingly agree: Underinvestment in technology negatively impacts client onboarding and retention ...
IBM, Thomson Reuters Introduce Powerful New AI and Data Combination to Simplify How Financial Institutions Tackle Regulatory Compliance Challenges
NEW YORK and DALLAS, TEXAS (May 1, 2019) — IBM (NYSE: IBM) and Thomson Reuters today announced a joint collaboration to ...
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 ...
Automating the Fight Against Financial Crime
Fenergo’s Kevin O’Neill discusses how asset management firms and other financial institutions are being scrutinized more by regulatory bodies with ...
FINRA’s Move to Foster Regtech
Theta Lake’s Marc Gilman reviews some of the key points from a recent FINRA report that resonate for financial institutions ...
Reinventing Financial Compliance
Reducing Cost and Complexity, Increasing Accuracy and Reliability As we mark the 10-year anniversary of the 2008 banking crisis – ...
A Copernican Revolution in Culture and Conduct Risk Management
The Necessity of Proactive Management Experts at applied behavioral science technology company Starling offer insights into the failures of current ...
Nearly Half of Responding Organizations Plan to Modernize Compliance in Year Ahead
NEW YORK (August 15, 2018) — Almost half (48.3 percent) of risk and compliance, internal audit, C-suite executive and board professionals plan ...
Tips to Achieve Consolidated Audit Trail (CAT) Compliance
How to Overcome Technological Roadblocks What a time to work in the GRC field: new technologies are constantly emerging to ...
The Real Return on Risk and Compliance Technologies
The Value of Big Data A crucial shift is underway in the financial services industry when it comes to regulatory ...
- Terry Wayne Kelly and Kelly Management, LLC August 22, 2019SEC Charges Mississippi Company and its Principal with Fraud in Timber Ponzi Scheme
- Andrew J. Kandelapas August 20, 2019SEC Obtains Final Judgment Against CEO in Penny Stock Fraud Scheme
- Crystal World Holdings, Inc., et al. August 19, 2019SEC Charges Issuer for Misleading Investors in the Sale of Unregistered Securities
