Get the latest insights, news and opinion from the compliance technology specialists. Find out what’s new, what’s changing and what the future holds in the world of corporate compliance, market abuse and conflict of interest regulations and technology.
The world is witnessing a technological revolution, with artificial intelligence (AI) transforming industries such as healthcare, insurance, and financial services.
FINRA’s Residential Supervisory Location (RSL) rule allows firms to designate an associated person’s private residence as a non-branch location where certain supervisory activities are…
The field of compliance has transformed dramatically over the last few decades, driven by rapid advancements in technology—most notably in the form of artificial…
Setting Aside Budget for Employee Compliance Efforts
In today’s interconnected business landscape, the concept of a partner ecosystem has become more vital than ever before, particularly in the realms of technology…
Choosing the right compliance partner can make all the difference In today’s complex regulatory landscape, maintaining compliance is not just a legal obligation but…
This FCA Market Watch is a wake-up call for firms! Firms must build and validate their surveillance models to ensure they function in the correct manner to surface the desired risk.
Effective employee compliance programs are vital for safeguarding a company’s reputation and reducing legal risks, as well as risks to employees themselves.
Reflecting on the Crucial Years of 1999-2008
