Technically Creative Blog

It shouldn’t come as news that every year the regulatory bodies which govern the financial industry come out with new rules, regulations, and standards by which these financial institutions need adhere. This year, it seems that a lot of regulatory focus has been on business culture, and business ethics, and with the cases that we’ve seen in the last year, it’s no surprise as to why. So, what are these changes, and what do they mean for the compliance surveillance space? Know Your Customer (KYC)             Recently proposed to be added to the regulatory framework

There’s no doubt that compliance is tricky business. Ensuring that your company adheres to the numerous regulations imposed by various bodies and administrations is a tough job that you may think requires you to hand it over to the experts. But you may be surprised to learn that doing that could cost you more in the end. Many firms who specialize in compliance offer the ever alluring idea that their “Former SEC/FINRA/CFTC” experts unburden you from the responsibility and hassle of ensuring that your firm is compliant with the multitude of regulations. While this sounds ideal, and in m

If I were to ask you, ‘what is the biggest risk at your company right now’, what would you say that was? You have your answer? Ok, now what measure do you have in place to manage that risk? Lastly, is the risk that you just thought of covered by your communication surveillance solution? If you answered ‘no’, you’re not alone. While the regulations governing electronic communication surveillance change often, there has been one phrase that remains intact, despite the multitude of revisions. “Each member shall establish and maintain a system to supervise the activities of each re

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