Actimize FMC Product Team

Financial Markets Compliance

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.

Expanded Regulatory Guidelines Create New Challenges For Wealth Managers

July 18th, 2024

Suitability and related regulations have grown in scope and impact in the Americas. New regulatory guidelines and requirements that further protect consumers and provide

Decrypting the FINRA Report: Your Guide to 2024 Compliance Priorities

February 6th, 2024

The Financial Industry Regulatory Authority (FINRA) has cast its net again, releasing its comprehensive 2024 Annual Regulatory Oversight Report. This document serves as a

A Guide for Wealth Management and Stockbroking Firms

December 5th, 2023

In the complex and dynamic world of wealth management and stockbroking, firms play a critical role in guiding individuals and families towards financial well-being.

The FCA’s Consumer Duty: A “Catch-All” with Flaws

July 24th, 2023

The Financial Conduct Authority (FCA) is preparing for the implementation of the Consumer Duty regulation.

FINRA Conference 2023: Well-Rounded, Well-Attended and Worthwhile

June 1st, 2023

Industry leaders and experts converged in Washington DC at the Financial Industry Regulatory Authority (FINRA) conference recently to discuss the latest developments and challenges

Speak to an Expert