Archive 2017

Date Title Author Category
22 Dec. Is Your Compliance Team Ready to Monitor Cryptocurrencies? Dan Fernandez Holistic Surveillance
11 Dec. SEBI Demands Communications Recording in India David Ackerman Regulations
15 Nov. Transforming Trade Reconstruction from Art to Science Tom McNeila Holistic Surveillance
25 Oct. Data Quality is the Key to Artificial Intelligence in Compliance Dan Fernandez Holistic Surveillance
28 Oct. ESMA Takes Aim at U.S. Banks with New MiFID II Directive David Ackerman Regulations
28 Sep. Mobile Phone requirements under MiFID II Jon Simone Regulations
5 Sep. How do you deter corporate fraud in one of Asia’s biggest financial hubs? David Ackerman Regulations
28 Jul. Is Artificial Intelligence Ready for Financial Compliance? Dan Fernandez Holistic Surveillance
21 Jul. Latest ESMA Update Clears up Grey Areas of MiFID II Jon Simone Regulations
10 Jul. NICE Introduces COMPASS Compliance Assurance Arno Sybrandy Comm. Compliance
27 Jun. MiFID II: The Time to Get Ready is Now Jon Simone Regulations
19 Jun. How to prove your regulated users are being recorded Linda Haelsen Comm. Compliance
5 Jun. How to ensure to record the right communications Linda Haelsen Comm. Compliance
22 May Are you prepared for Communications Compliance? Patrick Botz Comm. Compliance
4 Apr. Additional MiFID II regulatory scrutiny from FCA? Jon Simone Regulations
6 Feb. Regulatory Reform: Don’t Hedge Your Bets Yet Jon Simone Regulations