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Financial services compliance requirements News
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.
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A compliance audit is a comprehensive review of an organization's adherence to regulatory guidelines. Continue Reading
The FTC (Federal Trade Commission) is a United States federal regulatory agency designed to monitor and prevent anticompetitive, deceptive or unfair business practices. Continue Reading
The Securities and Exchange Act of 1934 (Exchange Act) is a law that governs secondary trading and stock exchanges. Continue Reading
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In this FAQ, we examine how the Financial CHOICE Act of 2017 would change U.S. regulatory compliance mandates targeting the finance industry's business practices. Continue Reading
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
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Daniel Allen explains how a lack of U.S. cryptocurrency regulation increases exploitation vulnerabilities, and shares his ideas for implementing regulatory oversight. Continue Reading
The fraud investigation process remains complicated for companies, but graph databases' information management techniques can help collect and manage valuable evidentiary data. Continue Reading
Finance industry regulators have shifted gears in 2016, moving away from checkbox-style regulations and focusing on companies' compliance culture. 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
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. 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