IRS Audit
Data Security Standards
AI Archiving
Compliance Monitoring
Compliance monitoring is the process of tracking how well your business adheres to its regulatory requirements. By intentionally performing a risk assessment and monitoring compliance, regulated companies can ensure they hit goals and avoid enforcement actions.
Cloud Security and Compliance
Cloud security helps businesses to keep their data secure and controlled. But it’s not the only information storage method available. Here, we answer some cloud security FAQs to help you decide whether cloud security is the best approach for your business.
What is compliance management?
Compliance management is the ongoing process of ensuring an organization adheres to relevant laws, regulations, and industry standards. It encompasses a wide range of activities, from developing and implementing compliance policies to monitoring and auditing compliance efforts. Managing compliance risks effectively requires a robust strategy and effective compliance management systems.
Sunshine laws: Shining a light on transparency and accountability
Sunshine laws, also known as open records or freedom of information laws, grants rights to the public to access a wide range of government records and proceedings. These legal mandates, embodied in the sunshine law definition, have played a vital role in promoting transparency within U.S. government institutions for considerable time.
Comprehensive recordkeeping: Leveraging SEC Rule 204-2 as a foundation for compliance
SEC Rule 204-2, also known as the “books and records” rule, is a critical regulation for financial organizations subject to SEC oversight with far-reaching implications.
The FCA COLL sourcebook: What is it and why is it important?
In the finance sector, COLL refers to the Collective Investment Schemes sourcebook, representing an invaluable resource for authorized firms navigating our complex regulatory landscape. We explore the overriding principles of the COLL sourcebook that will enhance your COLL compliance strategies.
The Impact of MiFID II on EU Financial Markets
Introduced in 2018, MiFID II (Markets in Financial Instruments Directive II) is a cornerstone of financial regulation in the European Union (EU). Join us as we explore the origin and intricacies of MiFID II.