Banks Get Needed Advice For Navigating Social Media Dangers

By Joe Mont2013-12-12T10:36:00

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How Can Compliance Manage Chat Risks? That’s Tough

2015-08-25T12:45:00Z By Joe Mont

Image: As the financial sector embraces the speed and efficiency of instant messaging services, compliance officers have a new challenge: how to detect misconduct in real time, not in e-discovery after the fact. Vendors are rushing in with new products; the bad news is that regulators are looking into “chat ...
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Balancing the Power of Social Media With Compliance Risks

2014-03-18T00:00:00Z By Karen Kroll
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U.K. financial regulator looks to streamline audit enforcement procedures

2025-10-15T19:16:00Z By Ruth Prickett

Auditors are supposed to keep businesses honest, but how much regulation is the optimum for the auditors – and how onerous and punitive should the enforcement regime be? A new consultation by the U.K. regulator, the Financial Reporting Council, opened on Oct. 1 and has put the vexed question of ...