Financial services compliance requirements News
June 24, 2016
Blockchain technology, a distributed ledger that underpins cryptocurrencies, has become a huge factor the financial services space as virtual currencies such as bitcoin have become increasingly popular. The rise of blockchain could radically change ...
February 05, 2016
The U.S. Securities and Exchange commission announced last week that global banks Barclays and Credit Suisse would pay a record total of more than $154 million to settle allegations over "dark ...
March 17, 2015
Regulation SCI marks a new era for SEC oversight of companies' IT compliance processes, and information governance expert Jeffrey Ritter discusses how in this Q&A.
March 20, 2014
The SEC has ramped up regulation in recent years and 2014 will be no different. In this FAQ, learn what to expect for SEC enforcement in 2014.
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The Securities and Exchange Act of 1934 (Exchange Act) is a law that governs secondary trading and stock exchanges. Continue Reading
Regulation Fair Disclosure is a rule passed by the U.S. Securities and Exchange Commission that aims to prevent selective disclosure of information by requiring publicly traded companies to make public disclosure of material, nonpublic information. Continue Reading
The SEC adopted Regulation SCI to bolster the technological infrastructure of the U.S. securities market. Take a look at the milestones in the history of Reg SCI, including when it was first proposed, the tech failures that inspired it and more. Continue Reading
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A consortium of financial services associations is calling for international cybersecurity standards to help avoid conflicting compliance mandates across global markets. Continue Reading
A proposed rule is designed to protect consumers from unfair payday lending practices, but legal challenges to the regulation are on the horizon. Continue Reading
Calls for blockchain compliance regulation are getting louder as digital currencies grow in popularity, but will these rules hinder innovation? Continue Reading
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Finance industry regulators have shifted gears in 2016, moving away from checkbox-style regulations and focusing on companies' compliance culture. Continue Reading
In this slideshow, get guidance on overcoming some of the top regulation compliance challenges of 2015. Continue Reading
Regulation SCI requires that covered entities follow specific IT procedures, and could preview new levels of digital system compliance for the private sector. Continue Reading
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In this Q&A, learn how increasingly sophisticated cyberthreats should influence organizations' information protection and PCI security strategy. Continue Reading
Dodd-Frank conflict mineral provisions create new disclosure rules for public companies. In this tip, learn how to prepare for the regulations. Continue Reading
In this tip, learn how the proliferation of mobile devices in the workplace forces companies to reexamine their regulatory compliance processes. Continue Reading