Financial Regulatory Compliance

Enterprise Wide Cyber Risk Management

Our financial industry has been plagued with financial crimes like phishing, fraud, critical data leakage, security lapses and anti-money laundering experiences. Cyber security has become an extremely important challenge for the banks. Failure in cyber security not only impacts operations, reputations and core processes, but public’s confidence in financial services also gets hampered. The […]

Regulated Use of Blockchain Technology for Financial Services Industry

Blockchain is slowly transforming Financial Services Industry (FSI). A lot of conventional firms are now focusing on “distributed ledger technologies” for the digital currency called the Bitcoin. Emphasis is on increasing the generic blockchain uses for areas like trade settlements, clearing, payment systems, commercial paper and others. All of this is in trial and testing […]

Why Banks are Apprehensive to Fully Embrace Fintech

Last year, Fintech investment grew 44% to $14.8 billion, aiding the development of digital tools in areas such as mobile payments, money transfer, lending and alternative currencies. So why are incumbent financial institutions apprehensive about jumping in?

The regulatory framework dictating how banks can use emerging technologies is not very well-defined, leaving banks to guess how a […]

Global Risk Management Survey

A CEO’s Perspective

The financial crisis which shook global markets and financial institutions worldwide has forever changed the landscape with an era of sweeping regulatory change. The new regulatory landscape is placing demands on financial institutions in such areas as corporate governance, risk appetite, capital adequacy, stress tests, operational risk, technology data and information systems, […]

Changing the Future of Finance – Managing Risk & Compliance Through an Automated Platform

Financial organizations experience the burden of regulatory processes required to remain compliant with the ever-changing regulations. Lack of ability to process documents and make quick decisions in a consistent manner across all areas of the business, including the various compliance group, internal audit, operations, finance, etc., can cost a banking institution millions of dollars […]

How can you Avoid Regulatory Fines with a Dynamic DMS?

For failing to report approximately 3.5M transactions, plus an additional 121, 387 transactions from 2007-2014, a high-level investment management group was fined by the Financial Conduct Authority upwards of $20M in 2015.
The group received a private warning from the Authority in November 2002 in respect of transaction reporting. Further, the Authority issued Investment group […]

Future Topics

What would you like to read more about?

  • Cost of Compliance Management - 4
  • How to perform effective Internal Audit - 9
  • Key strategies for Risk Management - 14
Submit
Results