The Hidden Cost of Ineffective Trade Surveillance
A single missed alert can cost a firm far more than the fine attached to it.
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Get the latest insights, news and opinion from the compliance technology specialists. Find out what’s new, what’s changing and what the future holds in the world of corporate compliance, market abuse and conflict of interest regulations and technology.
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Campaign Finance Laws: What Organizations Need to Know About Tracking Political Donations
Every election cycle brings a fresh wave of donations, in addition to compliance risk for financial firms.
How Insider Trading Management Helps Ensure Market Abuse Regulation Compliance
For firms operating in regulated markets, staying ahead of compliance obligations has never been more demanding.
What Is Audit and Compliance Readiness and How Can You Achieve It?
For organizations in regulated industries, such as financial services, healthcare, and beyond, audit and compliance readiness are the difference between a smooth review and…
Trade Reconciliation 101: Why It’s Crucial for Financial Accuracy
Too often, trade reconciliation and surveillance is treated as a back-office function; but for compliance teams, it’s a frontline defense.
Bringing Speed And Clarity To Compliance Decisions
Why Explaining Compliance Decisions Has Become the New Operational Challenge Employee and firm compliance in financial services has evolved far beyond periodic disclosures and post-event reviews.
5 Ways Data Silos Pose Issues for Compliance Officers and How to Eliminate Them
Data silos, where critical information resides in isolated systems across departments, regions, or platforms, are an undeniable operational headache.
3 Steps For Compliance Teams To Prepare For Crypto Regulation Now
Cryptocurrency compliance is complicated but not impossible.
The Crypto Rulebook Just Got Clearer
What It Means for Compliance Now On March 17, 2026, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) released long-awaited guidance that brings greater clarity to…