Tag: regulatory

Navigating the maze of policy management in finance: A technological compass

The importance of robust, clear, and compliant policies and procedures cannot be overstated in the dynamic realm of financial services. These fundamental elements empower firms to align their operations with strategic goals, adhere to regulatory mandates, and cultivate a culture rooted in accountability and transparency.

What are some of the key upcoming US tax regulatory impacts?

In order to ensure compliance with regulations and guidelines that govern the financial industry, it is vital to monitor regulatory changes.

Rising tide of regulatory fines hits $5.65bn: Insights from Corlytics’ latest...

Global enforcement fines have hit a staggering $5.65bn in the third quarter of 2023, according to a report released by Corlytics.

Insurance Authority collaborates with ICAC to combat insurance industry corruption

The IA, a regulatory body overseeing the insurance sector in Hong Kong and the ICAC have entered into an agreement.

Theta Lake unveils pivotal gaps in digital communication governance and compliance

A worrying 74% of IT and compliance professionals in the US and UK feat their staff might be using unsupervised communication channels - a rise from 66% in 2022. This finding comes from a pioneering survey has been commissioned for Theta Lake, a premier figure in Digital Communications Governance (DCG).

eComms are in the regulatory spotlight – is your firm ready...

MyComplianceOffice (MCO) recently took a deep dive into the topic of eComms regulation and whether businesses are ready for it.

The art of crafting effective regulatory compliance training programs

In a recent post, Saas firm Diligent detailed that regulatory compliance teams can build better training programs. 

How compliance departments are adapting to a new era

Joe Schifano, Global Head of Regulatory Affairs at Eventus, made an appearance on the DerivSource podcast, ‘Living the Trade Lifecycle’.

European PayTech deal activity drops 52% YoY despite growth in online...

Key European PayTech investment stats H1 2023: • European PayTech deal activity reached 93 transactions in the first half of 2023, down 52% YoY • European...

What will be the key regulatory developments in H2?

As the financial industry goes deep into H2 of 2023, regulatory developments in the sector continue to go on. What can we expect in H2?

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