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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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The Gramm-Leach-Bliley Act (GLB Act or GLBA), also known as the Financial Modernization Act of 1999, is a federal law enacted in the United States to control the ways financial institutions deal with the private information of individuals. Continue Reading
A Dodd-Frank rule requires swaps dealers to record voice communications, which regulators designed to deter illicit financial activity and improve financial compliance. Continue Reading
The Dodd-Frank Act (fully known as the Dodd-Frank Wall Street Reform and Consumer Protection Act) is a United States federal law that places regulation of the financial industry in the hands of the government. 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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IT leaders must be vigilant against cyberfraud. Use this list of fraud compliance statutes and prevention tips to protect IT resources, customers and your company's reputation. Continue Reading
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
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Dodd-Frank conflict mineral provisions create new disclosure rules for public companies. In this tip, learn how to prepare for the regulations. Continue Reading
Money service businesses are a growing part of the financial services industry but compliance with anti-money regulations is critical. Continue Reading
FFIEC makes it clear that financial institutions' anti-money laundering programs must account for changing risks. In this expert tip, Dan Fisher explains how to ensure your BSA program meets examiners' scrutiny. Continue Reading