Compliance Management

In the intricate world of finance, trade surveillance stands as a vital pillar, ensuring markets operate with integrity. In a new podcast, Martina Rejsjo,...

The SEC exam priorities for 2024 underscore the importance of compliance and recordkeeping within financial services. The focus will be on practices and products that pose risks to investors or the markets. In light of over $2.6bn in fines due to recordkeeping failures, the SEC will scrutinize unmonitored communication channels and the capture of essential records.

In the dynamic realm of financial services regulatory compliance, technology isn't just a facilitator—it's a game-changer. The latest industry analysis from GRC 20/20 delves into the transformative effects of AI on financial services compliance, marking a revolutionary departure from traditional practices.

Banks worldwide have long been tasked with identifying Ultimate Beneficial Owners (UBOs) as a crucial aspect of their anti-money laundering (AML) responsibilities. Recent global...

The landscape for Payment Service Providers (PSPs) is rapidly evolving, with a pressing need to scale operations effectively while managing Anti-Money Laundering (AML) compliance risk. RegTech company Fenergo has released a report outlining how payment service providers can reduce AML compliance risk.

Understanding the Corporate Sustainability Reporting Directive (CSRD) is the first step towards harmonised reporting. It offers a vast array of disclosure options. Beginning with data collection under the European Sustainability Reporting Standards (ESRS) may seem daunting, but we're here with actionable advice.

In the fast-paced world of corporate governance, 2024 looms with unprecedented challenges. As we peer into this future, it's evident that the previous years' tumult is but a prelude to a more formidable scenario, where managing a constellation of risks - from ESG and cyber threats to the omnipresence of AI - demands agility, foresight, and an integrated organizational perspective.

After six years of pioneering work in climate-related financial disclosure, the Task Force on Climate-related Financial Disclosures (TCFD) has released its final status report. ESG-focused FinTech company Position Green recently explained what firms can learn from the new report. 

As the deadlines approach for the new EMIR reporting changes in the EU and the UK, set for April 29, 2024, and September 30, 2024, respectively, it is paramount for stakeholders to grasp the complexities of the upcoming requirements.

BR-DGE, a foremost payment orchestration provider, and Sift, a top player in the domain of Digital Trust & Safety, have come together in a strategic alliance.