Tag: compliance officers

False negatives are emerging as one of the most dangerous blind spots in AI-driven compliance systems. While much of the attention has historically been...

Compliance teams across the financial sector are grappling with overwhelming volumes of communications. From emails to messaging apps, the daily flood of interactions now...

Firms regulated by the SEC or FCA must treat regulatory examinations and supervisory visits as part of their business-as-usual operations. While SEC exams are...

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.

The landscape of compliance is evolving rapidly, and gone are the days when compliance officers solely relied on manual processes and traditional methods. Artificial intelligence (AI) is redefining the field, offering significant advancements in efficiency and automation, alongside introducing new complexities and regulatory concerns.

Australia's financial crime compliance framework is set for significant updates as the Australian Transaction Reports and Analysis Centre (AUSTRAC) rolls out a new set...

InvestNext, a company specialising in real estate investment management, has raised $15m in a Series B funding round.

For RIAs and ERAs, the dawn of a new year presents not just opportunities but significant regulatory responsibilities. With the introduction of FinCEN's AML...

Compliance officers in the asset management sector are pivotal, often having to juggle multiple responsibilities.

In today's business landscape, marked by extensive regulatory demands and significant operational hazards, establishing strong GRC (Governance, Risk Management, and Compliance) frameworks is crucial for maintaining organisational integrity and achieving success.