Compliance Software for the Financial Control Room Managing a financial trading control room involves balancing a wide variety of tasks. To comply... READ MORE
Navigating Pay-To-Play Compliance in an Election Year and Beyond The 2024 U.S. Presidential election is grabbing the headlines right now. However, 469 other federal... READ MORE
How Technology Enables Best Practices in Policy & Procedure Management If you work in the financial services industry, you know how important it is to have clear,... READ MORE
FINRA Priorities Include Conflicts of Interest and Communications The 2024 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from... READ MORE
SEC Enforcement and Priorities Set Compliance Expectations for 2024 2023 was another active year for U.S. Securities and Exchange Commission (SEC) enforcement,... READ MORE
The Intersection of Culture and Compliance Employees at all levels of the organization make decisions that impact compliance every single day.... READ MORE
The Importance of Software for ESG Compliance Regulatory and investor expectations around Environmental, Social and Governance are quickly and... READ MORE
Mitigate Employee Insider Risk With Compliance Technology Insider dealing is a perennial concern for regulators around the globe. Agencies like the SEC, the... READ MORE
SEC Priorities Focus on MNPI, Insider Trading and Crypto Temperatures are hot across the United States right now – and so is U.S. Securities and Exchange... READ MORE
