Compliance Management

Dot Compliance, a pioneering RegTech company, announced today that it has raised $17.5m in a Series B extension funding round.

Sprinto, a prominent player in the RegTech industry, has successfully closed a $20m Series B funding round. The investment was led by notable names including Accel, Elevation Capital, and Blume Ventures, positioning Sprinto for significant technological advancements.

From the 24th April 2024, the financial markets will experience a significant shift with the application of the revised EMIR Refit (regulatory fitness and...

In the rapidly evolving global finance sector, the importance of complying with regulatory frameworks like the Common Reporting Standard (CRS) and the Foreign Account Tax Compliance Act (FATCA) cannot be overstated.

The Reserve Bank of India (RBI) serves as the primary financial regulator in India, steering monetary policies and overseeing the nation's banking framework. In a move to enhance cybersecurity in the financial sector, the RBI has unveiled its Cyber Security Framework, which sets a comprehensive suite of controls and guidelines to mitigate growing security risks effectively.

Global Screening Services (GSS), headquartered in London, has announced a fresh infusion of $47m.

On 14 March 2023, FullCircl led a significant assembly of the UK's premier financial crime and compliance authorities to impart crucial insights and strategies...

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.

The importance of robust, clear, and compliant policies and procedures cannot be overstated in the dynamic realm of financial services. These fundamental elements empower firms to align their operations with strategic goals, adhere to regulatory mandates, and cultivate a culture rooted in accountability and transparency.

The world of finance is on the brink of a significant transformation, especially for investment advisors in the United States. On February 15th, 2024, a pivotal announcement was made by the Financial Crimes Enforcement Network (FinCEN) that is set to redefine the landscape of anti-money laundering (AML) and counter-financing of terrorism (CFT) compliance.