Email Alerts
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Product Spotlight: Compliance monitoring tools for finance firms
In this Product Spotlight, learn about new compliance monitoring tools to help financial institutions meet regulatory and data reporting requirements. Product Spotlight
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FTC (Federal Trade Commission)
The FTC (Federal Trade Commission) is a U.S. federal regulatory agency designed to monitor and prevent anticompetitive, deceptive or unfair business practices. Definition
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FPCA (Foreign Corrupt Practices Act)
The Foreign Corrupt Practices Act (FCPA) is a federal U.S. law aimed at preventing the bribery of foreign government officials in an effort to obtain or retain business. Definition
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FAQ: How does an SSAE 16 report provide compliance control guidance?
An SSAE 16 report is a common tool for service providers demonstrating risk controls. But does SSAE 16 actually provide proof of solid GRC processes? FAQ
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How does an SSAE 16 report guide compliance controls?
An SSAE 16 report is a common tool for service providers demonstrating risk controls. But does SSAE 16 actually provide proof of solid GRC processes? FAQ
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whistleblower
A whistleblower is a person who voluntarily provides information to the general public, or someone in a position of authority, about dishonest or illegal business activities occurring at an organization. Definition
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SEC fines NYSE $5 million in compliance settlement
The New York Stock Exchange has agreed to a $5 million compliance settlement in response to SEC charges of improper distribution of market data. News
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Podcast: The barriers to PCI DSS compliance and how to overcome them
Some businesses struggle with the Payment Card Industry Data Security Standard. In this podcast, learn strategies to maintain PCI DSS compliance. Podcast
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How has the MF Global bankruptcy influenced regulation?
Details that point to the 2011 MF Global bankruptcy filing remain under federal investigation. Could the firm's collapse influence future financial regulations? FAQ
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FAQ: How has the MF Global bankruptcy influenced financial regulation?
Details that point to the 2011 MF Global bankruptcy filing remain under federal investigation. Could the firm's collapse influence future financial regulations? FAQ