Actiance Wins IBM Cloud Business Partner Award

3/21/2017 This weekend Actiance had the honor of being named winner of the IBM Cloud Business Partner Award. Actiance was presented with the award at the InterConnect 2017 during the Cloud Business Partners Keynote (on Sunday, March 19 at the Mandalay Bay Hotel), an event that recognizes IBM partners worldwide for outstanding growth, performance, marketing, […]

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Changing Times – 5 Compliance Cornerstones for 2017
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If you’re a compliance professional, prepare yourself for a roller coaster ride this year. Over the past year, the EU has strengthened its regulatory frameworks, especially with enhanced privacy protections. In contrast, the new U.S. administration is expected to modify Dodd-Frank measures and the fiduciary rule and cut regulations generally. Pundits predict that we’re in […]

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Regulation and Monitoring Trade Activity

Actiance had the privilege to speak on a panel at the Toronto MaRS Discovery District last week about RegTech and “What Regulation and Technology Mean for Market Participants in Monitoring Trading Activity”. The seminar, hosted by Actiance, IBM and Sigma Analysis & Management, was attended by hedge funds and asset managers looking to learn how […]

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Are You a Fred or a George?

Are you Fred or George? Are you in front of or behind the communications demanded for eDiscovery? Read the latest from Exterro at LegalWeek17: “Be a Jetson, Not a Flintstone: 7 Tips for Social, Mobile & Cloud in E-Discovery” We’re all used to how quick technology changes these days – one moment something is all […]

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FINRA 11-39 Compliance Overview

FINRA 11-39 compliance overview (Social Media Websites and Use of Personal Devices) FINRA 11-39 provides further guidance for firms on applying rules governing communications with the public when using social media. In short, firms are reminded that existing rules for recordkeeping, suitability, supervision and content requirements all apply to social media. Additionally, FINRA clarified the […]

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2017 FINRA Exam Letter: The 3 S’s of Compliance
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The new year is upon us, and once again it’s time for a slew of “Predictions” webinars, events, and programs (including this week’s “Top 5 Compliance Predictions” webinar– recording located here) as well as the annual FINRA Regulatory and Examination Priorities Letter highlighting the focus of that self-regulatory body for 2017 (http://www.finra.org/industry/2017-regulatory-and-examination-priorities-letter). In this year’s letter, […]

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Fake News and Email Review
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The Internet is a valuable research tool for both individuals and firms. However, it can also be used as a tool to adversely affect not only people, but corporations and the securities markets. In the last decade, the securities industry has seen threats like ransomware, direct action, and file infector viruses, as well as fake […]

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TrueCompliance™: The Missing Factor in Data Compliance
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Perhaps one of the most discussed Data Compliance predictions among Chief Compliance Officers, CTOs, and CIOs in 2017 is data capture, data protection and even more so, cyber threat protection. According to the Data Protection Network, many industry professionals are confident that 2017 will be the year when companies shift from a ‘how can we […]

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