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SEC scrutiny pushes advisers toward the OCCO model
Registered investment advisers face growing pressure to prove their compliance programmes are not just written down but actively working, and many are turning to...
RegTech vendor selection centres on security at 41%, yet vendors overweight...
Key views on factors FIs prioritise when selecting a third-party RegTech solution:
The Global State of RegTech surveyed 300 FI decision-makers and 100 vendors...
Compliance tops adoption drivers at 54% with FIs recognising RegTechs wider...
Key views of primary drivers of RegTech adoption as reported by FIs and vendors:
The Global State of RegTech surveyed 300 compliance decision-makers and 100...
Building a future-proof compliance framework in the financial sector
A robust compliance program is fundamental for any firm in the financial sector, serving as the mainstay of its operational integrity. At the heart of a successful compliance strategy lies a profound comprehension of the firm’s business model and the foresight to adapt to any potential shifts in business practices.
Sequant hires regulatory framework writer as CCO
Sequant Capital, the FCA-regulated cryptocurrency broker, has hired Erik Wilgenhof Plante as its new chief compliance officer.
RegTech can help but there needs to be an ‘all-encompassing package’...
RegTech can provide solutions to the financial services industry but the current market lacks an ‘all-encompassing package’ according to John Mahony, Chief Compliance Officer...
