All compliance technology articles
CPE Webcast: Fireside chat: Transitioning compliance technology solutions
Chief compliance officers and their teams are under increasing pressure to evaluate and choose the right technology partner to meet their growing compliance needs in the face of potential changes to their costs, solutions, and platforms.
Surveys: Rushing technology decisions comes with big compliance risks
Embracing technology to help manage risk and improve efficiencies is a trend that’s been developing in the compliance space for a while, but the pandemic has fast-tracked the urgency behind it, according to a couple of recent surveys.
Is Social Media Considered ‘Real Monitoring’?
A recent survey by Compliance Solutions at Charles Schwab found that compliance officers spend 11 hours per week monitoring their employees’ personal brokerage accounts, while half are closely monitoring social media platforms. One of the main challenges that compliance officers face is chasing data, which are “owned” by other departments. ...