Tag: Compliance

The Financial Conduct Authority (FCA) has launched a campaign to encourage individuals in financial services to report potential wrongdoings.

The European Securities and Markets Authority (ESMA) has issued a statement to clarify its supervisory approach to position limits for commodity derivatives.

Ethics and compliance programmes are the biggest revolution in corporate governance to have ever occurred, according to a recent panel.

The European Banking Authority (EBA) has published its report on the monitoring of liquidity coverage ratio (LCR) implementation in the EU.

The Reserve Bank of India (RBI) imposed a penalty of Rs 2 crore ($275,651) on State Bank of India (SBI) for violation of certain norms on remuneration to its employees in the form of commission after finding the lapses while doing statutory audits.

Palturai started as a conversation between friends. Now it is rapidly expanding across the globe.

CCO liability is still a big concern for chief compliance officers, but the recent speech from SEC commissioner Hester Pierce is helping to bring more clarity to the issues.

Artificial intelligence is becoming a common sight, but there are still fears around using the technology and ensuring it is not being misused.

DataOps solutions provider K2View unveiled its new Data Privacy Management (DPM), a flexible workflow and data automation solution to streamline data privacy regulatory requirements.

California-based cloud data governance and security company, Privacera secured $50m in Series B funding round led by Insight Partners.