Play chess, not checkers: 5 ways firms can fortify policies against noncompliance
Noncompliance risks may not be completely unavoidable, but they can decrease substantially when financial organizations anticipate precarious situations and take steps to defend against them.
What is SEC Rule 18a-6? Ensure you are ready for implementation
Last year, SEC Rule 18a-6 was amended alongside Rule 17a-4, marking the first time SBSDs and MSBSPs became subject to regulatory requirements around electronic recordkeeping. As the compliance date for this rule approaches, what steps do swap-dealers and participants need to take to ensure regulatory compliance?
CFTC Commissioner urges regulatory reforms to keep pace with technology
CFTC Commissioner Christy Goldsmith Romero’s recent remarks on keeping pace with evolving technologies like social media and AI highlight their ability to assist regulators by strengthening protection, broadening financial information outreach, and easing accessibility.
Setting the record straight on retention: How to appropriately capture data and fulfill regulatory requirements
It is well known that record retention is central to financial industry operations - but best-practice makes perfect. Our guide will help your organization abide by regulatory requirements and confirm data is being managed, secured, and archived.
Compliant communications – How financial institutions can manage and optimize Microsoft Teams use
IM has become an invariable part of business practice, and among the most notable of these platforms is Microsoft Teams. When utilizing this communication channel, how can financial institutions optimize its usage while handling associated security and regulatory compliance risks?