Tag: regulatory compliance

Digital disruption is rapidly reshaping the wealth management landscape, forcing firms to rethink how they deliver services and build long-term client trust.

The old saying “garbage in, garbage out” takes on a sharper edge in compliance. In KYC processes, poor-quality or outdated data can result in...

Hippodrome Casino has selected RiskSmart to strengthen its risk and assurance framework, marking a significant step in its approach to governance and compliance. The venue,...

Running a business today means constantly navigating a shifting regulatory landscape. New rules emerge regularly, leaving many companies unsure if they are fully compliant....

The world of wealth management is undergoing a profound shift, one that mirrors the evolving expectations of modern investors. Just a few years ago, clients...

Shield has formed a strategic collaboration with PwC UK, one of the world’s most trusted professional services firms. The partnership aims to help financial institutions...

Advisors are shifting into the role of data curators, guiding clients through an overwhelming sea of financial information by filtering and contextualising insights that...

Fraud rings are becoming a mounting concern for businesses operating in finance, payments, and cryptocurrency. Every day, organised criminals search for ways to exploit...

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...

Zeidler Group has announced a major expansion of its Marketing Material Review Tool (MMR-Tool), adding Hong Kong’s regulatory framework to its list of supported jurisdictions.