The Direct Advisory Suite weaves key regulation and compliance steps directly into investment planning, proposal generation, and client reporting workflows so you can be confident that your advisors ...

Dr Venu Murthy is a Technocrat with 20+ years of experience in driving digital transformations of fast growing companies and an innovator. As a technologist, I was blind to a crucial aspect of any ...

Discover how Regulation N enforces the CARD Act and Dodd-Frank Act, preventing misleading mortgage ads and ensuring transparent credit product promotions.

The typical narrative is that as time passes, digital regulation becomes more stringent. Accountability becomes a greater requirement as technology continues to advance and occupy a more meaningful ...

Out of all tasks on a company’s checklist, maintaining compliance with industry regulations is one of the most important. Automation can make this more challenging, but it can also be key to ...

Financial professionals recently received a reminder that industry overseers are closely monitoring how firms are implementing standards and practices under Regulation Best Interest (Reg BI). In ...

As the financial services industry undergoes constant change, managing the complexities of compliance presents a challenge. Compliance teams are overwhelmed with many regulations, each with unique ...

IT spending on Reg NMS compliance technology is estimated to be more than a hundred million USD ($100mn). This has clearly revealed the significant impact the new regulations are having on the trading ...

With President-elect Donald Trump about to enter a second (non-consecutive) term as president, federal regulation of the financial services industry is in for another shake-up. To get a better ...

On June 30, new strict rules for stablecoin issuers went into effect across the European Union under the bloc’s Market in Crypto Asset (MiCA) regulation. This impending regulation represents a major ...