Tag: ComplianceAlpha

A major North American mutual fund manager controlling more than $100bn in assets recently faced heightened scrutiny over its fixed income oversight. While the...

ACA Group has launched a new Market Abuse Risk Framework to help UK and European buy-side firms strengthen their surveillance and compliance programmes. The governance,...

The US Securities and Exchange Commission (SEC) has recently issued an order that underscores the Atkins administration’s focus on marketing accuracy, robust recordkeeping, and...

A former analyst at a UK-based investment management firm has been convicted of insider dealing, underlining the Financial Conduct Authority’s (FCA) increased reliance on...

As the regulatory landscape tightens its grip on digital communications, the imperative for exhaustive capture and archival of electronic dialogues grows increasingly critical.

In the dynamic realm of regulatory compliance, traditional surveillance techniques are no longer sufficient. As regulatory frameworks evolve, adopting cutting-edge technologies is crucial for firms aiming to stay ahead.

Money laundering and financial crimes pose large risks to financial firms, both from a reputational and regulatory perspective. These criminal activities can manifest in...

In recent years, off-channel communications have come under the intense scrutiny of regulators like the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). This scrutiny is largely due to the risks these unmonitored communications pose, ranging from compliance issues to gaps in record-keeping that can affect investor protection.

In the rapidly evolving digital landscape, traditional methods of portfolio oversight are increasingly inadequate against the mounting cyber threats. Recognising this shift, a strategic, programmatic approach to cybersecurity has become crucial for safeguarding investments and enhancing company valuations.

In the ever-evolving landscape of financial crimes, firms across the globe are grappling with the challenge of safeguarding their operations and reputation. Among the myriad of schemes that threaten the integrity of financial institutions, Business Email Compromise (BEC) stands out for its cunning simplicity and potentially devastating impact.