Tag: regulatory compliance

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.

Let’s acknowledge a crucial aspect from the outset – managing the Customer Lifecycle Management (CLM) journey has become an increasingly complex, costly, and challenging endeavor. This is a shared challenge across the financial sector, exacerbated by an era marked by continuous change.

As the investment services industry braces for a wave of regulatory transformation, a new perspective is emerging—one that views compliance not as a cost centre, but as a catalyst for growth.

Theta Lake has announced the launch of numerous industry-first capabilities within its Theta Lake Risk and Compliance Suite. This announcement builds on its recent shift...

Key US RegTech investment stats in 2024: US RegTech funding dropped by 28% YoY in 2024 Californian companies dominated the US RegTech space with...

Ekuiti Nasional Berhad (Ekuinas) has announced a strategic investment in Bluesify Solutions, a leading Malaysian Managed Security Service Provider (MSSP). Founded in 2012 by Izman...

In the US, KYB is not just a regulatory requirement but a fundamental practice critical for maintaining the integrity of financial operations and fostering trust within the business ecosystem.

The Netherlands Authority for the Financial Markets (AFM) has imposed a fine of €1.6m on neo-broker BUX for breaches related to the inducements ban.

FinScan, an anti-money laundering (AML) compliance solution from Innovative Systems, has enhanced its payment screening solution, FinScan Payments, to accelerate transaction workflows while strengthening...

Key Asian RegTech investment stats for 2024: Asian RegTech deal activity dropped by 35% YoY India dominated attracting 21% of all Asian RegTech deals...