Author: Compliance Solutions Strategies

Global regulators continue to enhance their ability to monitor the activities of market participants through a combination of new rules, filing requirements, and upgrades to surveillance technologies. As a result, many market participants, including both buy- and sell-side firms, need to re-assess how they currently monitor the trading desk, and whether new policies and procedures are needed to effectively manage reputational risk and avoid costly fines.

The Cayman Islands has further bolstered its anti-money laundering (“AML”) and countering of terrorist financing (“CTF”) rules. The new AML/CTF…

Given the dramatic impending changes in regulatory reporting requirements for asset management firms, their chief operating officers, administrators and compliance…

A comprehensive solution for Forms N-PORT, N-CEN and N-LIQUID

A comprehensive end‐to‐end solution for insurers, banks, asset managers and distributors

A comprehensive suite of regulatory data solutions for fund managers and distributors.

In early 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) and FINRA released their annual examination priority letters,…

Financial services are target No. 1. That was confirmed in a 2014 SEC cybersecurity roundtable when Larry Zelvin, then a…

It seems like there’s a new data breach in the news every other week. The fact is that hacking tools…

Think cybersecurity breaches won’t happen to your firm? It may be time to reconsider. Cybersecurity breaches are becoming much more…

When investment advisers use the cloud, they are making a conscious, informed decision to outsource tasks to vendors who may…

Companies struggling with Word, Excel and other traditional applications to support compliance functions, often lack guidance when evaluating tailored software…