COVID-19 caused many firms to put Reg BI compliance on the back burner. Here are three key lessons to help firms get compliant by
The NICE Actimize Blog is a series of opinion and news analysis articles addressing global issues in financial crime and capital markets compliance. The Actimize FMC team blogs about the latest issues relating to global financial markets and compliance.
3 Take-Aways from SIFMA’s Reg BI Forum
As most wealth management firms know, by June 30, 2020 broker-dealers registered in the United States must comply with Regulation Best Interest.
Are Compliance Teams Feeling the Impact of RegTech?
Recently, Octavio Marenzi, CEO of leading research and advisory firm Opimas, posted the chart below on LinkedIn, which illustrated the disparity between the staffing
Seeing the Cloud Through the Fog of Brexit
With the March 29 deadline for a Brexit deal quickly approaching, companies around the globe are contemplating the regulatory implications on their operations and
Compromise is Good for Politics, Not Surveillance
Compromise is essential in politics, but unnecessary when it comes to market surveillance. Over the last few years, technology and regulation have transformed the