Tag: Financial Services

In recent years, the management of Material Non-Public Information (MNPI) has emerged as a significant concern within the compliance sphere. Regulatory bodies in the...

On January 10, 2024, a pivotal shift in the UK's regulatory framework will unfold as the Money Laundering and Terrorist Financing (Amendment) Regulations 2023 come into effect.

OneID, the UK's leading digital identity service, has reached a new milestone in the field of Identity Verification for Know Your Customer (KYC) and Anti-Money Laundering (AML).

In the rapidly evolving financial services industry, the importance of effective risk assessment is often overlooked.

Compliance automation is a game-changer in how chief compliance officers (CCOs) present crucial regulatory compliance information to board members. This technological advancement not only makes compliance processes more efficient but also equips board members with vital knowledge for informed decision-making.

As the end of the year draws near, financial firms are under the gun to complete their annual FINRA and state/jurisdiction registration renewals. With deadlines fast approaching, it's critical to have a robust framework in place for timely, cost-effective, and efficient renewals, not just for this year but for the future as well.

Proliferation Financing (PF) is becoming an increasingly important aspect of the compliance landscape, akin to well-known areas like anti-money laundering (AML) and counter-terrorism financing (CTF). Recently, regulators, particularly in the UK, have begun implementing stricter measures to help businesses identify and mitigate PF risks.

The landscape of financial services faces intensified scrutiny in communications compliance. In an era marked by consistent and assertive regulatory enforcement, a proactive approach...

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.

Tidal Cyber, a company at the forefront of threat-informed defense, has made a significant leap forward with a $5m seed funding round.