Home Tags Compliance
Tag: Compliance
Navigating SEC’s marketing rule: Essential insights from recent Risk Alerts
The SEC has always been at the forefront of regulating firms, ensuring they maintain good marketing practices. Its risk alerts play an instrumental role, offering firms the much-needed guidance to prepare for impending examinations.
The importance of identifying shell companies
Financial institutions play a pivotal role in preventing money laundering. Over the past 18 months, government bodies have frequently highlighted shell companies as significant...
From BEAR to FAR: Australia ushers in a new age of...
Legislation concerning the Financial Accountability Regime (FAR) has received the nod of approval from both Houses of the Australian Parliament. This milestone move in 2023 lays the groundwork for a stringent accountability structure, targeting directors and top-tier executives of financial institutions across banking, insurance, and superannuation sectors.
Custodia unveils CC1 Messaging to revolutionise regulatory compliance
Custodia, a frontrunner in regulated digital data services, has unveiled its latest product, CC1 Messaging.
The rise in regulatory enforcement actions regarding record-keeping violations connected...
FairPlay partners with FS Vector to introduce fair lending to more...
FairPlay, the world’s first Fairness-as-a-Service company, is announcing a new partnership with FS Vector, in a bid to introduce fair lending to more financial...
From clearing challenges to a revolution in trade surveillance: The Eventus...
Travis Schwab - the CEO of Eventus - the global provider of state-of-the-art, at-scale trade surveillance software across all lines of defense – recently spoke...
What’s going on with UK corporate governance and audit reform?
With the future of UK corporate governance and audit reform seemingly as murky as ever, businesses are being forced to prepare compliance measures for...
How compliance departments are adapting to a new era
Joseph Schifano, Global Head of Regulatory Affairs at Eventus, made an appearance on the DerivSource podcast, ‘Living the Trade Lifecycle’.
Unravelling the importance of CIP rules for financial institutions
Financial institutions often fall prey to money launderers who exploit these platforms to funnel, mask, transfer, and cleanse ill-gotten gains. This doesn’t just endanger...
Unravelling Canada’s new deemed ownership rule in sanctions compliance
RegTech firm Sigma Ratings recently provided a guide for companies to stay ahead of changing sanctions in the Canadian market.
