Actiance Talks Compliance in “Bank On It” Podcast

Listen to the latest episode of John Siracusa’s, “Bank On It Show” podcast and hear Actiance CMO, Cynthia Crossland, and Actiance Director of Information Governance, Robert Cruz, discuss how a comprehensive compliance solution can help banking institutions manage the compliant use of social media. The “Bank On It” podcast is available on iTunes and iHeartRadio. You can listen to it […]

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The Pros and Cons of Deregulation: Experts Weigh In

With the White House continuing to push for an overhaul or possible dismantling of Dodd-Frank, companies in tightly regulated industries are straining to predict the impact any deregulation will have on their markets. Some of the world’s top experts weighed in, offering perspectives on the potential benefits and pitfalls of such a move. Valdis Dombrovskis, […]

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Changing Times – 5 Compliance Trends for 2017

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 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 both the […]

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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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‘Tis the Season for Electronic Correspondence Reviews

Most firms and surveillance groups approach electronic correspondence reviews in three ways: percentage of review, key words to identify problematic correspondence, and internal investigations. Thus far, regulators have not given firms much of a reason to do otherwise.  Most of the regulatory fines and sanctions have been the result of lack of review, lack of […]

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How To Get Ready for GDPR

Getting Ready for the General Data Protection Regulation (GDPR) Unsure about whether GDPR applies to you? It doesn’t matter if we are pre- or post-Brexit, or if you’re in Europe, APAC or the USA. Any company holding identifiable information of an EU citizen, no matter where it’s based, needs to be aware of the implications of […]

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FCA Cloud Guidance Signals Maturation of UK Cloud Services Market

In July of 2016, the UK’s Financial Conduct Authority (FCA) issued new guidance to financial services firms on the use of outsourced cloud services. The guidance, FG 16/5, outlines requirements that firms should consider as they evaluate the use of cloud services for critical, important, or operational functions. While the guidance is not binding, it […]

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5 Key Areas of MiFID II Regulatory Requirements

As we discussed in “Highlights of The New Markets in Financial Instruments Directive (MiFID II)”, firms should plan for significant changes. MiFID II requires financial services firms across the globe to fundamentally review their business operations and processes, while also deciding which markets to continue operating in, and how to position themselves. In the short […]

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Highlights of MiFID II

“MiFID II will notably change the way Europe’s secondary markets function. And this will no doubt impact market participants and regulators alike. The magnitude of this change should not be underestimated. But the past has taught us that change is needed in order to make markets more transparent, efficient, and safer to invest in. This […]

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