MiFID II is now in Effect, but will It Conflict with the Upcoming GDPR?

Thanks to the Markets in Financial Instruments Directive (MiFID II), which went into effect at the beginning of the year, banks and other highly regulated industries will be recording and archiving all communication made by phone, email, social media, unified communications, encrypted messaging and any other medium used to correspond with clients for at least […]

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The Year for Action: 5 Electronic Communications Security & Compliance Trends for 2018

In 2017 we saw an injection of corporate spend and significant planning in preparation for addressing regulations coming into effect in 2018 – specifically, MiFID II and GDPR. As well, an ever-increasing demand for more effective and efficient electronic communications compliance engendered new levels of focus on how Fintech technology can help. No matter the […]

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FINRA’s Hot-button Issues for 2018

Following their New Year’s tradition, the Financial Industry Regulatory Authority (FINRA) just posted its annual Regulatory and Exam Priorities letter, signaling to member firms where they can improve compliance, supervisory and risk management programs. As is typically the case, the topics closely follow their report on FINRA Examination Findings from last month, which focused heavily […]

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Is there a Conflict between MiFID II and GDPR?

For regulated companies, few things are causing more anxiety than new dictates coming out of the EU, namely GDPR and MiFID II, which impose some of the most exacting rules on companies to date for information governance. These two pieces of legislation, taken individually, have companies on both sides of the pond scrambling to comply […]

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All I Want for the Holidays is . . .

Well, the holiday season is upon us yet again, giving us the opportunity to pause, reflect, and be thankful that we’ve made it through a pretty eventful year. And, for those who live in the world of compliance, what a year it has been! 2017 brought about unprecedented change – and that change will likely […]

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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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