Policy Highlight: Anti-Money Laundering – OFAC NLP AI is a promising technology, but until it is given some more time, advanced context-sensitive policies are one of the best tools available for effective E-Comm Surveillance. Whether fulfilling regulatory requirements, investigating and uncovering fraud, or combatting the risks
“Hey! I know about some big events about to hit the news! This merger is going to be huge!” On November 15th, the SEC announced that they had entered a final consent judgement against William Wright, the former Corporate Controller of CEB Inc., whom the
They say everything has a price. In this case, Steven Gallagher’s integrity, morality, and, potentially, freedom cost just north of $1 million. The SEC’s complaint alleges that for years, Gallagher, a stock trader, used his Twitter handle to make thousands of tweets encouraging his numerous followers to buy stocks for which he had already amassed holdings in secret.
Two themes that we’ve covered in the past, if you want something done right you have to do it yourself and the importance of being proactive, are two common themes when it comes to the regulatory risk and compliance spaces. With the industry in the
Let’s get a couple of obvious things out of the way. First, we all know that data leaks are bad. And second, we also know that they happen all the time. According to the Identity Theft Resource Center breach report, the number of data breaches
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
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
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
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