Financial services compliance requirements
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Download: Top FAQs regarding the impact of 4 common compliance regulations
IT operations are sometimes unexpectedly affected by major audit regulations – is your IT team prepared? Explore the critical role your IT team plays in ensuring compliance and review the penalties for non-compliance by downloading this FREE e-guide, which covers any questions you might have regarding 4 major legislative regulations.
Financial services compliance requirements News
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March 30, 2018
30
Mar'18
FAQ: How is digitization influencing SEC compliance priorities?
As online trading and digital finance becomes the norm, updated SEC compliance regulations target these transactions in an effort to improve digital asset security.
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June 24, 2016
24
Jun'16
Blockchain GRC: The innovation and regulatory balance
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 ...
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February 05, 2016
05
Feb'16
Barclays, Credit Suisse to pay $154M for 'dark pool' trading violations
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 ...
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March 17, 2015
17
Mar'15
SEC oversight reaches new levels under Regulation SCI
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.
Financial services compliance requirements Get Started
Bring yourself up to speed with our introductory content
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compliance audit
A compliance audit is a comprehensive review of an organization's adherence to regulatory guidelines. Continue Reading
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FTC (Federal Trade Commission)
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
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Securities and Exchange Act of 1934 (Exchange Act)
The Securities and Exchange Act of 1934 (Exchange Act) is a law that governs secondary trading and stock exchanges. Continue Reading
Evaluate Financial services compliance requirements Vendors & Products
Weigh the pros and cons of technologies, products and projects you are considering.
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FAQ: How would the Financial CHOICE Act change current compliance regs?
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
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FAQ: What are the International Cybersecurity Principles?
A consortium of financial services associations is calling for international cybersecurity standards to help avoid conflicting compliance mandates across global markets. Continue Reading
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Proposed payday loan regulation seeks additional consumer protections
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
Manage Financial services compliance requirements
Learn to apply best practices and optimize your operations.
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Graph databases could prove invaluable to fraud investigation process
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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Compliance culture: FINRA shifts regulatory focus
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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Tackling top regulation compliance challenges
In this slideshow, get guidance on overcoming some of the top regulation compliance challenges of 2015. Continue Reading
Problem Solve Financial services compliance requirements Issues
We’ve gathered up expert advice and tips from professionals like you so that the answers you need are always available.
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Next generation of threats requires new approach to PCI security
In this Q&A, learn how increasingly sophisticated cyberthreats should influence organizations' information protection and PCI security strategy. Continue Reading
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How will SEC enforcement and rule development evolve in 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. Continue Reading
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Preparation underway for Dodd-Frank conflict mineral disclosures
Dodd-Frank conflict mineral provisions create new disclosure rules for public companies. In this tip, learn how to prepare for the regulations. Continue Reading