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Keyword: Compliance

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rules and regulations

The U.S. SRO will charge fees for reporting Treasuries trades

business woman

Balzac’s founder Diana Olsen has achieved success by sticking to her strengths — and you can too

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How to protect yourself from risks of insider trading

compliance puzzle

Direct access, client identifiers and AI top the list

Special Report on Technology 2020

Firms also can use technology to facilitate client onboarding and to make client reporting more engaging and interactive

Business lawyer team. Working together of lawyer in the meeting.

New compliance targets have emerged from the SRO's data analysis efforts

cyber space with hexadecimal code as digital background

Machine learning and data analytics will play growing roles in helping regulators find wrongdoing

Shot of a group of young businesspeople using a laptop during a meeting in the boardroom of a modern office

ShelfMonitor scans for changes to investment products

  • By: IE Staff
  • January 14, 2020 January 14, 2020
  • 12:02
Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Why KYC updates have never been more important to your success

Female tax inspector looking at corporate financial documents with magnifying glass

Retail investor issues, as well as registered investment advisors, will be under scrutiny