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 ...
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.
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Outdated Technology Preventing Banks from Investing in Disruptive Technologies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 ...
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 – ...
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- 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
- NIT Enterprises, Inc., et al. November 29, 2019SEC Halts Penny Stock Scheme Targeting Seniors
