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 | 08 Mar 2013
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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 | 18 Sep 2012
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First SOX, now a rollback of Dodd-Frank regulations?
Just weeks after the JOBS Act created reductions to SOX requirements, new House legislation would cut key portions of Dodd-Frank compliance regulations. News | 19 Apr 2012
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JOBS Act to have little influence on GRC tools and processes, for now
The JOBS Act alters compliance requirements for emerging companies, but experts say it should have little influence on GRC tools and strategy for those already on the right track. News | 16 Apr 2012
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JOBS Act invites wide range of deregulation opinions
Proponents of the JOBS Act say deregulating emerging businesses will boost the economy. But the controversial act has attracted a variety of opinions. News | 12 Apr 2012
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Do payment servers meet PCI compliance requirements?
The recent data breach at Global Payments Inc. should create scrutiny for credit card payment processing servers’ security and PCI compliance requirements. News | 05 Apr 2012
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SEC stresses importance of social media guidelines and compliance
The SEC has released new "risk alerts" that outline how financial firms can use social media guidelines to protect their business from fraud and comply with federal regulations. News | 16 Jan 2012
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Q&A: How the SEC's XBRL tagging mandates can help your bottom line
As mandatory eXtensible Business Reporting Language use becomes the norm in business communications, one expert says XBRL tagging can assist risk management and analysis. News | 12 Dec 2011
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For now, push for Dodd-Frank Act regulations continues
With Barney Frank's retirement, financial reform backers will lose their loudest voice. Is this the beginning of the end for Dodd-Frank Act regulations? News | 08 Dec 2011
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FINRA regulatory notice provides guidance for using social media
A new FINRA regulatory notice provides guidance for using social media and personal devices in business communications, including record-keeping responsibilities. News | 26 Aug 2011