Tag: FINRA

Compliance teams in financial services are under unprecedented strain. The explosion in digital communications—from emails to chat apps—has pushed the volume of data requiring...

Document management systems (DMS) have become a critical tool for organisations looking to enhance security while meeting compliance requirements.

As regulatory scrutiny in the asset management sector intensifies, Zeidler Group is stepping up with an AI-powered solution that promises to transform compliance.

In the evolving landscape of work, particularly in hybrid and remote settings, tools that enhance connectivity and engagement, like Zoom's Workvivo, are becoming indispensable for fostering a vibrant workplace culture.

Financial services firms are being urged to stay vigilant as reports emerge of executives and employees being impersonated in WhatsApp scams that have led...

The Financial Industry Regulatory Authority (FINRA) enforces rules designed to protect investors from unethical practices and prevent financial losses.

In the financial services sector, tracking employee compliance such as licensing, registrations, and continuing education is a complex task.

With regulatory fines for inadequate eComms surveillance soaring in 2024, eflow Global has introduced an upgraded version of its AI-driven platform, TZEC.

The U.S. Securities and Exchange Commission (SEC) has recently made significant adjustments to its regulatory framework, introducing two pivotal rules, Rules 3a5-4 and 3a44-2, collectively known as the Final Rules.

In the ever-changing world of risk management, where the challenges are formidable and constantly evolving, the role of risk executives and their teams is...