Digital Transformation Makes Compliance Easier

Digital transformation is a trend term that we hear a lot among businesses. However, this so-called transformation hasn’t arrived yet in most of the compliance departments. Organizations are implementing digital transformation in other areas, but why not in compliance departments.

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The FCA's Capabilities to Detect Market Abuse

Mark Steward, Executive Director of Enforcement and Market Oversight at the FCA recently gave a speech on market integrity. In his speech, Mark Steward discussed the importance of firms having a smart market abuse risk assessment to comply with MAR, regulators challenges and capabilities to detect market abuse.

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A Closer Look at Gifts and Entertainment Compliance

We are relentlessly curious about how organizations deal with their Gifts and Entertainment rules and policy globally. Thinking about that and not finding enough insights, we ran a survey to understand everything we could about Gifts and Entertainment Policy and Compliance trends.

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How to Plan a Compliance Solution Migration

Regulatory Compliance is a challenge for financial services and to nail the compliance solution you use is crucial. It is the responsibility of the compliance department to make sure rules and policy are in place to protect the company reputation.

Doesn’t matter the size of your organization or compliance department. Only the best compliance strategy will suffice, if you have a good compliance program but a weak compliance software provider that doesn’t listen to your priorities, migrating to another option is pivotal.

Compliance migration isn't an issue that should be taken lightly, though, which is why you need to plot the progress in style.

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Taking the Next Steps With Your Compliance Solution

Perhaps you already have a compliance solution or perhaps you still trusting on excel spreadsheet and manual process to keep your employees compliant and avoid regulations fines. For sure, if you still using manual process and fully trusting your excel spreadsheet you are in danger. You should be looking for a more modern compliance solution that can help to reduce your stress and workload.

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