Financial services compliance requirements news, help and research

Financial services compliance requirements News

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.
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 ...
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 ...
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.

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Securities and Exchange Commission (SEC)

The Securities and Exchange Commission (SEC) is the U.S. government agency that oversees the nation's securities industry. Continue Reading
Gramm-Leach-Bliley Act (GLBA)

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
What is the Dodd-Frank voice recording rule for the swaps market?

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

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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
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
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

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Balance fraud compliance and prevention with these tips

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
Lack of U.S. cryptocurrency regulation invites risk

Daniel Allen explains how a lack of U.S. cryptocurrency regulation increases exploitation vulnerabilities, and shares his ideas for implementing regulatory oversight. Continue Reading
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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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
AML compliance and money service businesses

Money service businesses are a growing part of the financial services industry but compliance with anti-money regulations is critical. Continue Reading
Updated Bank Secrecy Act compliance exam guide focuses on risk

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