Tag: Compliance Solutions

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.

Singapore-headquartered Xcelerate, a prominent governance, risk & compliance (GRC), and environmental, social & governance (ESG) platform, has closed a funding round exceeding $25m.

NICE Actimize, a leading provider of financial crime, risk, and compliance solutions, has unveiled a new suite of generative AI-based innovations.

Apiax, a trailblazer in embedded compliance solutions, has today announced the launch of its innovative AI Policy Assistant.

Tookitaki serves leading financial institutions in Asia, the Middle East, Africa, and the Americas, offering a robust defence against financial crime.

Big changes are sweeping through Europe's financial landscape, thanks to the introduction of stringent Anti-Money Laundering (AML) laws. These new regulations are particularly significant for high net worth individuals (HNWIs) and businesses in the luxury sector. The mandate? Heightened vigilance and transparency in financial dealings, aiming to curtail the misuse of funds.

Ushur, a leading provider of AI-Powered Customer Experience Automation™ (CXA), is set to integrate its award-winning platform into the Five9 CX Marketplace, as part of a new collaboration.

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.

Flagright recently detailed how financial industry companies can manage third-party risks in compliance solutions.

Clausematch has formed an alliance with RiskInk, a boutique risk management consultancy with unparalleled experience in policy drafting.