Tag: regulatory compliance

Financial institutions have poured significant sums into technology meant to simplify complex operations. Sometimes it delivers. Often, however, the real difficulties only surface once...

Key views on Impact of automation and AI across asset management functions: Acuity Analytics surveyed around 80 senior asset management representatives across the Americas,...

Neobanks, digital payment providers and wider FinTech players are under constant pressure to move quickly. Missing a market window can mean lost revenue, disappointed...

ACA's outsourced chief compliance officer (OCCO) service is being positioned as a way for registered investment advisers (RIAs) to close compliance gaps before they...

As financial institutions expand their use of artificial intelligence, a persistent question keeps resurfacing in anti-money laundering (AML) circles: does the requirement for explainability...

AI is accelerating insurance pricing, but insurers still face a slower challenge: turning model outputs into decisions that can actually reach the market. An insurance...

Politically Exposed Person (PEP) screening is the process compliance teams use to determine whether a customer, counterparty or beneficial owner holds a public position...

Compliance and legal teams are grappling with a communications landscape that has outgrown the archiving tools built to govern it, prompting a shift towards...

Artificial intelligence is no longer limited to automating simple, repetitive compliance and risk tasks. Across financial services, firms are increasingly using AI to conduct...

IRS tax forms are under constant revision, and RegTech provider Comply Exchange warns that keeping pace with the changes is becoming a growing challenge...