Blog
Increased scrutiny for outsourcing: an overview of regulatory directives
As financial services rely more on outsourcing, regulators are acting – fast. We take stock of new and emerging regulatory requirements when outsourcing.
Are your third parties operationally resilient? Key considerations for UK firms
As third-party vendors slowly become the backbone of the operation of financial services, there’s increasing focus on the operational resilience of those third parties. We set out 5 considerations that should be top of mind.
Enforcing from within: Morgan Stanley proactively tackles compliant communications
American multinational investment firm, Morgan Stanley, has taken bold steps to prevent non-compliant communications by issuing employees with financial penalties.
Insights
Hines Securities Achieves Archive Reliability with Global Relay
Learn how Global Relay provided a modern solution to support the firm's major expansion
AFME Conference in Amsterdam takes stock of post-pandemic challenges
Executives meet at AFME’s Sixth Annual Compliance and Legal Conference in Amsterdam.
Issue 7
Separating business and personal communications has never been this important
Orbit TRC, offers a unique blend of perspectives for corporates and regulated entities on the latest developments that impact technology, risk and compliance.
IN THIS ISSUE
Compliant communications
Can WhatsApp be a force for good?
Critical third parties
UK Regulators widen their reach
Surveillance trends
Acquiring data and what to do with it
Broker Dealer Collection
Increased scrutiny for outsourcing: an overview of regulatory directives
As financial services rely more on outsourcing, regulators are acting – fast. We take stock of new and emerging regulatory requirements when outsourcing.
Are your third parties operationally resilient? Key considerations for UK firms
As third-party vendors slowly become the backbone of the operation of financial services, there’s increasing focus on the operational resilience of those third parties. We set out 5 considerations that should be top of mind.