Collaboration Compliance During a Crisis
In the midst of the COVID-19 pandemic, many financial services firms are implementing work from home policies using collaboration tools. ...
Tag: regtech
Regtech is a new technology that uses information technology to enhance regulatory processes. With its main application in the Financial sector, it is expanding into other regulated businesses while emphasizing monitoring, reporting and compliance.
Will the Dutch AML Utility be a Game Changer for Shared FinCrime Compliance?
Sujata Dasgupta provides an analysis of the upcoming Dutch AML utility – currently under feasibility study – and how it ...
Theta Lake Survey: Why Communication Monitoring Failures and Regulatory Fines Will Increase
Theta Lake's 2020 State of Digital Communication Compliance and Supervision Survey Finds 89% of Compliance Professionals Aren't Ready For Modern ...
2020 Survey Report: State of Digital Communications Compliance
Given the rapidly expanding use of collaboration platforms, like Cisco Webex, RingCentral, Slack, Zoom and Microsoft Teams, as well as ...
ICA Launches Specialist Certificate in Money-Laundering Risk in New Technology
This new qualification is the first of its kind to consolidate the opportunities and financial crime risks surrounding new and ...
How Emerging Technologies Are Disrupting the Banking Compliance Landscape
Cutting-edge technologies create footprints in all aspects of life, and banking compliance is no exception. Financial crimes compliance expert Sujata ...
Regulatory Roundup: 10 Recent FINRA and SEC Violations and Penalties
Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the ...
Top 5 Reasons Companies Fall Short of State Compliance Requirements
New York, NY – 10 October 2019 – Computershare has revealed a list of the most common reasons that companies ...
How Customers are Moving to the Frontline in FinCrime Compliance
Financial crimes compliance has historically been solely the realm of banks and financial institutions. Sujata Dasgupta discusses how and why ...
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, ...
Outdated Technology Preventing Banks from Investing in Disruptive Technologies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 ...
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