Compliance Management

The technological revolution is making the job of compliance officers increasingly intricate. From record-keeping to monitoring approved communication channels and adapting to the ever-changing world of social media advertising, the list of challenges seems endless. A burning question for many is the potential influence of large language models (LLMs) on their profession. Will LLMs simplify their tasks or add complexity?

Today's financial landscape is rapidly evolving, with Environmental, Social, and Governance (ESG) factors gaining a pivotal role. As the sustainability and responsible investing frontiers...

The City of London Corporation, in collaboration with HM Treasury, has recently unveiled the 2023 edition of the State of the Sector: annual review...

As the digital age continues to evolve, the significance of forms in collecting personal, first-party data and streamlining processes to enhance customer interaction cannot...

The European Securities and Markets Authority (ESMA), the top regulator and supervisor of the European Union’s (EU) financial markets, has issued its inaugural consultation package under the framework of the Markets in Crypto-Assets Regulation. Stakeholders are invited to share their views until 20 September 2023.

ESG Bay, an environmental, social, and governance (ESG) self-assessment platform, has recently secured a pre-seed investment. The UK-based company assists organisations in gauging their climate and societal impact by applying universal metrics, and generates lucid ESG assessments for customers, community, stakeholders, and the broader public.

In a strategic move, the Defense Innovation Unit (DIU), an organisation established to foster the incorporation of commercial technology within the Department of Defense...

The world of Environmental, Social, and Governance (ESG) compliance is becoming increasingly intricate and crucial for financial institutions (FIs). Amid this rapidly changing landscape, where sustainability and responsible investing have taken centre stage, FIs find themselves under mounting pressure to navigate these challenges effectively.

The UK's Financial Conduct Authority (FCA) recently released a ten-point checklist for companies in anticipation of the new Consumer Duty regulation set to be enforced on July 31, 2023. This regulation marks a pivotal shift in the regulatory landscape, impacting both new and existing services and products available for sale or renewal.

An innovative collaboration approach to financial regulation is being advocated by Eventus, a leading regulatory technology (RegTech) firm, in their latest 'Compliance in Focus' series.