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Compliance Software
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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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.
The CLARITY Act Is Advancing: What Compliance Teams Should Be Watching
As digital asset regulation moves closer to reality, firms may need to prepare for significant compliance and operational changes.
SMCR’s Next Chapter: What the FCA Changes Mean for Firms
The latest reforms introduce operational flexibility, but firms must still maintain strong accountability and governance controls.
The Growing Burden of Explaining Compliance Outcomes
The most time-consuming part of the process is often not identifying an issue but validating and explaining it.
Broker-Dealer Compliance & Registration: How to Choose the Right Software
When a newly hired registered representative joins a broker-dealer firm, the compliance clock starts ticking.
Fixing Broker-Dealer Registration Workflows
Less Friction, Better Visibility, Stronger Control License and registration workflows are still more complicated than they need to be for many broker-dealers.
Crypto Compliance Enters a New Phase in 2026
Crypto compliance is entering a new phase. For the past several years, firms have watched digital asset regulation take shape across major jurisdictions.
Best Practices for Ensuring Compliance in Employee Crypto Trading
The adoption of cryptocurrencies like Bitcoin, Ethereum, and other digital assets has skyrocketed in recent years, fundamentally reshaping financial markets.