Tag: financial industry

In the evolving world of regulatory compliance, IT leaders face challenges managing the vast archives of internal, trade, and customer interactions.

The SEC and the CFTC have recently imposed fines totalling $477.75m on 26 broker-dealers and investment advisers for failing to comply with electronic communication...

The Financial Conduct Authority (FCA) has recently mandated that financial institutions, including banks, payment firms, and lenders, enhance their protocols to ensure fair treatment of politically exposed persons (PEPs).

In the ever-evolving landscape of financial regulations, staying compliant is more critical than ever. The European Market Infrastructure Regulation (EMIR) and its forthcoming amendments,...

HSBC has reportedly entered the race to acquire Tesco Bank, joining other high street lenders like Barclays and Lloyds Banking Group.

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.

Morningstar Investment Management has teamed up with Envestnet in a bid to make institutionally priced investment options accessible to a wider audience. 

Adverse media screening has become an integral component in the finance industry, especially in relation to Anti-Money Laundering (AML) compliance. RegTech company Alessa recently...

OpenFin, the operating system (OS) enhancing enterprise productivity, today announced a major step forward with $35m Series D investment secured.