Tag: Regulatory Technology

In the intricate world of FinTech, the geopolitical landscape plays a pivotal role in shaping compliance and regulatory frameworks. The aftermath of the Russian...

The U.S. Securities and Exchange Commission (SEC) introduced a significant regulatory update on August 24, 2023, impacting private fund advisers through the adoption of the Private Fund Adviser Rules. This regulatory shift comprises several key components aimed at enhancing transparency and safeguarding investor interests. Among these, the Adviser-led Secondaries Rule and the Annual Fund Audits Rule stand out for their direct impact on fund management practices, accompanied by the amendment to the compliance review documentation requirements.

Fenergo, a leading provider of digital solutions for Know Your Customer (KYC), Transaction Monitoring, and Client Lifecycle Management (CLM), has announced the availability of its software-as-a-service (SaaS) CLM solution on AWS Marketplace.

Apiax, a trailblazer in embedded compliance solutions, has today announced the launch of its innovative AI Policy Assistant.

Big changes are sweeping through Europe's financial landscape, thanks to the introduction of stringent Anti-Money Laundering (AML) laws. These new regulations are particularly significant for high net worth individuals (HNWIs) and businesses in the luxury sector. The mandate? Heightened vigilance and transparency in financial dealings, aiming to curtail the misuse of funds.

The United Kingdom has emerged as the global hotspot for shell company risks, according to the latest interactive research unveiled by Moody’s Analytics.

In recent years, the management of Material Non-Public Information (MNPI) has emerged as a significant concern within the compliance sphere. Regulatory bodies in the...

Confluence Technologies, which is dedicated to addressing complex investment data challenges in the investment management industry, has partnered with Manaos, which streamlines how institutional investors centralize portfolio data, integrate ESG information, and report on investment sustainability.

When the world went into lockdown in 2020 in a bid to stop the spread of Covid-19, many companies went into a state of...

In the dynamic realm of risk management, pivotal factors are reshaping the role of risk executives. Financial crimes compliance, a pivotal aspect of risk management, necessitates vigilance and innovative strategies. Among these, four key factors—Revenue, Cost, Ethics, and Regulation—stand as paramount forces propelling risk leaders into the future.