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.
- 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.
- 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 18, 2012
The New York Stock Exchange has agreed to a $5 million compliance settlement in response to SEC charges of improper distribution of market data.
- April 16, 2012
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.
- January 16, 2012
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.
- December 12, 2011
As mandatory eXtensible Business Reporting Language use becomes the norm in business communications, one expert says XBRL tagging can assist risk management and analysis.
- August 26, 2011
A new FINRA regulatory notice provides guidance for using social media and personal devices in business communications, including record-keeping responsibilities.
- October 11, 2010
The financial crisis is an example of what can happen when those responsible for establishing and maintaining risk management practices are asleep at the switch, an expert says.
- January 29, 2010
Early adopters of XBRL say the benefits for electronic financial reporting are many, but companies remain leery of investing resources until they see practical benefits.
- December 18, 2009
In 2010, many SEC filers must report in XBRL, an XML language that will revolutionize business reporting. But will companies embrace it as a standard for internal use?