Compliance and Risk Management

With the growing regulatory complexity, compliance function requires more skills, experience, and knowledge than ever before. This article discusses why outsourcing compliance and risk management is important for a business.

There are plethora of threats to the financial services sector, and financial crime risk has burgeoned as a pervasive, yet widely comprehended category of risk. Learn more about how a business can address the risks of financial crime.

Compliance software can help a business streamline the risk management process through effective policies and regulations. Learn about the role of compliance software in risk management for a business.

RegTech has been used by financial institutions to manage risk and compliance since the 1990s. This article explains the importance of Regtech for businesses and companies in 2021.

The PRIIPs KID is a stand-alone document that is readily distinguishable from marketing materials and must not include any cross-references to such materials. This blog post discusses some FAQs about PRIIPs key information document.

With more and more offices switching to long-term or permanent work-from-home, understanding the subsequent compliance risks is important for businesses to address the issues and operate appropriately. Learn more.

Appointed representatives range in size from small start-ups to huge market participants. This article from RiskSave highlights the role of AR for a business. Learn more.

Businesses must comply with an ever-increasing number of data protection, privacy, and industry-specific rules and regulations. Learn about the common compliance concerns that business face in 2021.

The PRIIPs regulation is mandatory for businesses and organisations in the Finance industry. Learn about the PRIIPs Key Information Document with these FAQs answered by experts.

In the investment industry, there is a greater need to fit regulatory hosting services in each frame of investment activities. Learn about the importance of regulatory hosting for new and emerging businesses.

Using a regulatory hosting provider can help speed up the process by allowing unregulated businesses to join the regulatory umbrella of a regulated company. Learn why businesses should opt for regulatory hosting solutions.

Learn about regulatory developments and compliance management for cryptocurrency and blockchain technology.

EIOPA accepted the revised PRIIPs regulatory technical standards ("RTS") proposed in July 2020 on February 3, 2021, having an impact on insurers and asset managers.
Asset managers, in particular, must plan for the transition from UCITS KIID3 to PRIIPs KID by the end of 2021.

The adoption of regulatory technology solutions growing rapidly for organisations in the finance industry. Learn about the various benefits for businesses investing in Regtech solutions for their finances and business operations.

Compliance Officers are in charge of defining company policies, setting metrics to track compliance, and conducting compliance audits. Learn more about the roles and responsibilities of regulatory compliance experts.

The FCA’s role in registering UK-based crypto-asset exchanges for anti-money laundering purposes is currently restricted. Understand more about the role of the FCA in the UK for the regulations around cryptocurrency.

Compliance software helps a business streamline the risk management process through effective policies and regulations. This infographic highlights the role of compliance software in risk management for a business.

The federal and state governments have a plethora of agencies that ensures no market fraud is happening. There are numerous authorities in both the federal and state governments that regulate and supervise financial markets and corporations.

According to Financial Conduct Authority (FCA), RegTech is the state-of-the-art technologies and software devised and built to combat challenges within financial services. Even within the RegTech niche, many products address distinct parts of the Compliance Role. Below these roles are bifurcated into five categories

The PRIIPs KID is the information that people must see before buying an investment product. Importantly, to make an informed investment decision, the regulators consider that investors should go through it at the point of sale.

In order to meet and address the challenges that firms face when it comes to compliance, organizations need to find a better way. Learn how businesses can achieve effective compliance risk management.

Outsourced compliance consultants have a great deal of day-to-day regulator experience and are familiar with the regulatory environment and personnel in your area. This blog explores more reasons why it is a good idea to opt for compliance outsourcing.

After the financial crises of 2008, the regulatory landscape has grown tagged with a never-ending growing list of legislation and reporting for financial compliance services to consider. Currently, it has added the Certification Regime & Senior Managers, which expands the approved person regime and aims to make individuals more liable for their competence and conduct.

Within the current tsunami of regulations that asset managers are undergoing, PRIIPs KID stands out among the most challenging among all. Project and risk managers are constantly heading the efforts to successfully comply with these in the next few months are well aware of the risks involving compliance and interpretation of the regulatory text over…

Maintaining regulatory compliance is unquestionably a key priority for financial services firms. Recognizing the problem, on the other hand, is frequently far easier than successfully resolving it. Thus, it is crucial to look for the best financial regulatory compliance services.