Seismic change is afoot for asset managers’ investment compliance programs given the significant uplift in SEC proposed rules for investor protection combined with demands for greater transparency.
The compliance and risk landscape grows more complex each day, and the rate of change in the space is only accelerating.
In this exclusive eBook from Veriff, discover the current state of compliance surrounding fintechs.
Money laundering, cybercrime, corruption, trafficking: These are just a few of the many illegal activities that could be putting your business at risk, especially if you’re using outdated, manual processes.
Does your financial institution have the tools it needs to understand regulatory change and manage compliance? Managing the volume and complexity of regulatory change and understanding its impact on your institution requires more than inefficient manual processes.
Read CSI’s The Dangerous Intersection Between OFAC and Ransomware white paper to understand how OFAC violations and ransomware present an amalgamated threat to all U.S. businesses, and how to address this threat in order to limit its potential for grave financial harm.
The Board of Directors needs an answer before the current reporting period ends. Furtive harassment needs to be uncovered and countermanded immediately. A regulatory agency needs immediate assurance that internal procedures will suffice, otherwise a compliance investigation will be initiated. The CEO needs to know whether terms of the M&A ...
Compliance is still about following the rules, but growing emphasis on values cannot be understated.
With all the moving parts of mergers and acquisitions, governmental licenses often get lost in the shuffle. But part of an M&A subject to the whims of thousands of licensing jurisdictions should not go ignored.
Initiating your company’s commitment to reporting its environmental, social, and governance (ESG) metrics can prove a daunting task. But keep in mind: It’s a marathon, not a sprint.
Data privacy experts believe the mechanisms in place under the General Data Protection Regulation (GDPR) to ensure compliance, enforcement, and redress need revisiting—and quickly.
This free e-Book considers the new opportunities the virtual asset space has opened, as well as the risks deriving from criminal exploitation and a lack of regulatory oversight in this burgeoning area.
More than 70 percent of respondents to a recent survey from Compliance Week and advisory, tax, and assurance firm CohnReznick LLP said their companies were already preparing to comply with the climate-related disclosure rule proposed by the Securities and Exchange Commission.
The issues of working in high-risk regions have always been there, but recent dynamic events and circumstances have added unique challenges.
While most accounting teams have replaced their manual accounting practices with an updated, digital version, many are still following the old rules, such as close-related tasks being completed on a certain day of the month.
For chief compliance officers of U.S. companies, navigating Russian sanctions and export controls restrictions might feel like a full-time job on its own right now, not knowing when or where violations could occur in an ever-shifting enforcement landscape.
It’s one thing to talk about being a sustainable company, to conduct business in a sustainable way. It is another thing entirely to set sustainability goals, track the progress of those goals, and be transparent about decisions being made.