Category: Financial Articles

COMPLIANCE ROCK STAR
The Compliance Boom In Banking | The Economist

(The Economist | May 2019) Excerpt from the article Rise of the No Men The past decade has brought a […]

Read More
dan-dorsky-open-bulletin
Bulletin: Hedge Fund Rocked By Bribery Investigation By Dan Dorsky

by Dan Dorsky, Principal, Anti-Corruption and Ethics Practice. An enforcement action jarring the financial services sector has been resolved. Och-Ziff […]

Read More
data-integrity-and-governance
Regulatory Compliance Series - Data Integrity and Governance [whitepaper]

Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational risk management challenges on FINRA […]

Read More
see-ya-later-crc
See Ya Lata – Bad Data!

CRC Announces Forthcoming Whitepaper Addressing Data Quality and Data Integrity Issues Impacting Broker-Dealers CRC is pleased to announce a forthcoming […]

Read More
twitter-goldman
Goldman, Twitter & Square Entwinement

Goldman Sachs Group, Inc. will report earnings on 10/15/2015 before the market opens. Last week Goldman publicized that it would […]

Read More
technology-upgrade
FINRA Technology Upgrade Raises Data Standards for Firms

  Emmanuel Olaoye, Thomson Reuters As the Financial Industry Regulatory Authority embraces the cloud and expands its monitoring technology for […]

Read More
ignites-financia-times-article
M. Avnet Commentary | Ignites Financial Times Article

Mitch Avnet notes that firms lacking “consistent and cohesive training and messaging to mid-level managers” place their organizations at great risk. "An organization must create an awareness and culture encouraging employees to raise their hands...

Read More
yarcwhitepaper500
Compliance In Financial Services White Paper

Compliance in Financial Services White Paper | Compliance organizations have had good success leveraging new technologies to improve efficiency, but recent trends as discussed will increasingly force compliance leaders to take action to mitigate the risks arising from the data and regulation explosion.

Read More
increased
Are you Insecure? – The First Step is Acknowledging You Need Help!

As members of the Financial Services Industry, we find ourselves in the position of having an inordinate amount of confidential information at our disposal...

Read More
dont-hateautomate
Don’t Hate – Automate!

Compliance, Operational and Financial Risk teams face complex challenges in creating appropriate “control” environments. Many factors impact and influence our […]

Read More
Copyright Compliance Risk Concepts | All Rights Reserved © 2021 | Privacy Policy
magnifier