Tag: GDPR

Using a document management system (DMS) has become an effective way for organisations to protect sensitive data while meeting compliance requirements. These systems help...

Data privacy continues to become an important topic for regulators around the world, as more regulations are released each year bolstering rules to ensure...

In today’s demanding regulatory landscape, keeping control over vast amounts of interaction data is no longer just a good idea — it’s an operational...

An investor risk profile is a regulatory requirement before any financial advice or investment planning can be delivered. Known as the suitability assessment, this process is designed to ensure that recommendations or portfolio strategies align with a client’s needs and objectives.

KYC Portal CLM has unveiled a powerful new feature designed to give compliance teams deeper control over client data: the Field-Level Audit Trail. This latest tool brings precision auditing capabilities to individual fields within onboarding and company forms, allowing teams to instantly track the full history of any change at the click of a button.

As financial crime grows more sophisticated and regulatory demands intensify, many organisations still rely on Excel to manage risk assessments. While familiar and flexible,...

In today’s financial services landscape, records management has become a complex compliance issue that firms can no longer afford to overlook. According to Corlytics,...

Financial firms relying on call recording for compliance, security, and operational insights are facing a critical deadline. Nice Trading Recording (NTR) systems will reach end-of-life (EOL) in September, putting organisations at risk of losing key data, breaching compliance requirements, and incurring greater costs without urgent action.

In today’s rapidly shifting regulatory landscape, firms are under mounting pressure to shift from reactive to proactive compliance. The days of treating compliance as a tick-box exercise are over. Increasingly, enforcement agencies demand that firms embed compliance into the fabric of operations—making traceability and connected controls central to staying ahead of risk and regulation.

Responsible AI encompasses the ethical development and application of artificial intelligence, prioritizing transparency, fairness, and legality across its operations. For the financial sector, this means deploying AI technologies that are not only efficient but also equitable and devoid of biases, ensuring that individual rights are respected throughout their lifecycle.