Financial services compliance requirements
- March 30, 2018
As online trading and digital finance becomes the norm, updated SEC compliance regulations target these transactions in an effort to improve digital asset security.
- 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.
- November 18, 2013
Dodd-Frank conflict mineral provisions create new disclosure rules for public companies. In this tip, learn how to prepare for the regulations.
- March 08, 2013
In this Product Spotlight, learn about new compliance monitoring tools to help financial institutions meet regulatory and data reporting requirements.
- September 17, 2010
The CISO of financial giant Credit Suisse says the key to successful global security and risk management is a uniform governance system supported by a common policy framework.
- June 19, 2009
Twitter can be used for social good, business and journalism, but the potential for exploitation by cybercriminals and noncompliance with regulatory requirements is real and growing.
- October 09, 2008
As the SEC looks to replace Generally Accepted Accounting Principles with the International Financial Reporting Standards, CIOs should evaluate the effects on financial data and application architecture now.