Top Ten Reasons Why We Love Compliance Officers In honor of National Compliance Officer's Day, we wanted to share the many reasons why we love... READ MORE
Now's the Time to Plan for FINRA Renewals Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps... READ MORE
Challenges of Compliance Monitoring for Smaller Firms Staying on top of the latest regulatory developments in the financial services industry to maintain... READ MORE
Using AI? The Rules of Effective Compliance Still Apply Artificial intelligence (AI) has emerged as a powerful tool in compliance and technology. From... READ MORE
Too Many Firms Still Track Employee Registration Compliance Manually Tracking employee compliance credentials including licensing, registrations and continuing... READ MORE
Fit for Purpose – Consumer Duty Compliance Remains a FCA Priority It's been almost one year the Consumer Duty came into force, setting higher and clearer standards... READ MORE
Preparing for Markets in Crypto-Assets Regulation (MiCA) The Markets in Crypto-Assets Regulation (MiCA) institutes uniform regulations for crypto-assets... READ MORE
Streamline Employee Attestations and Certifications Financial services firms are among the most heavily regulated organizations worldwide. From the FCA... READ MORE
Infographic: Personal Account Dealing Compliance Personal Account Dealing, when employees gain personal profit from inside information or other data... READ MORE
