Tag: Financial Compliance

In the rapidly evolving sectors of finance and professional services, Client Lifecycle Management (CLM) plays a critical role in ensuring compliance and managing risk. Traditional CLM systems, however, often fall short in the face of expanding customer demographics, complex regulatory landscapes, and the growing demands of global compliance standards.

In the UK, the deployment of artificial intelligence (AI) is perceived as the principal threat for over half of the regulated firms this year. A...

Spektr, a pioneering company in the compliance technology sector, has officially emerged from stealth mode, heralding a new era in ongoing due diligence.

The European Union (EU) has recently made a significant stride in fortifying its defenses against money laundering and terrorist financing. A provisional agreement reached between the EU Council and Parliament introduces a comprehensive anti-money laundering (AML) package aimed at protecting EU citizens and the financial ecosystem.

The Central Bank of Ireland recently conducted a Conduct Risk Assessment of Telephone and Electronic Communications in the securities market. This crucial assessment aimed to evaluate compliance with the Markets in Financial Instruments Directive (MiFID II), especially Article 16(7), which mandates firms to prevent the use of unauthorised communication.

In the intricate world of finance, trade surveillance stands as a vital pillar, ensuring markets operate with integrity. In a new podcast, Martina Rejsjo, Head of Product Strategy at Eventus, explores the multifaceted challenges in this domain.

In the dynamic realm of financial services regulatory compliance, technology isn't just a facilitator—it's a game-changer. The latest industry analysis from GRC 20/20 delves...