Investment in Proven Fintech and RegTech Pays Off

The Thomson Reuters® Regulatory Intelligence survey and report Fintech, RegTech, and the role of compliance in 2023  explores the way in which firms are addressing the deployment and management of technology solutions.

The report points out that digital transformation is a continuum, with many benefits but also some challenges along the way.

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Mitigate Risk During the Gift-Giving Season and Beyond

The holidays are here. The air is filled with cheer. . . and gifts and entertainment that might be putting your organization at risk. And those gift and entertainment compliance concerns don't end when the holidays are over. Taking a mindful approach to both the giving and receiving of gifts and entertainment can help firms stay on top of compliance throughout the year.

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Too Many Firms Still Track Employee Registration Compliance Manually

Tracking employee compliance credentials including authorizations, registrations and licensing is a complex endeavor. Yet during the recent webinar A Better Way to Track Licensing and Registrations, 58% of people polled reported that they are still using manual solutions like spreadsheets to track compliance with employee certification regulations.

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SEC Bulletin Highlights Need for Effective Conflicts Management

The U.S. Securities and Exchange Commission (SEC) recently released the staff bulletin Standards of Conduct for Broker-Dealers and Investment Adviser Conflicts of Interest to reiterate the required standards and obligations for broker-dealers under Regulation Best Interest (Reg BI) and for investment advisers the fiduciary duty standards under the Investment Advisers Act of 1940.

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SEC Announces Spring 2022 Regulatory Agenda

The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2022 Unified Agenda of Regulatory and Deregulatory Actions. The report provides an update on the short and long-term regulatory actions that the agency plans to take.

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