"Automation is taking my job away!"
Automated compliance services can reduce key-person risk, mitigate the chances of reputational damage and enable the retirement of legacy technology.
by David Polonsky Jun 11, 2020
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Automated compliance services can reduce key-person risk, mitigate the chances of reputational damage and enable the retirement of legacy technology.
A firm's ownership structure is a criteria that is often overlooked, but vital, to successfully choosing a long-term vendor for your company.
Market data has been, and will continue to be, one of the most significant challenges with running an accurate and efficient compliance team. Unfortunately, there isn’t a silver bullet to solve this data accuracy or “denominator” issues. The main players in the market data space all have their strengths and weaknesses. None of them can be relied on entirely to have accurate data in the eyes of the regulators.
Rule Commentary is changing how people discuss regulation.
Issuer Limits for France and Belgium can be terribly difficult to manage, FundApps can help automate this.
What is happening with TD2? Check out the infographic to find out
The Financial Conduct Authority and Her Majesty’s Treasury have made some significant changes in its draft of the implementation of the Transparency Directive Amended Directive (Directive 2013/50/EU, which amends 2004/109/EU).
There is much confusion surrounding regulatory filings. Unfortunately, there can be hefty fines if you get it wrong.