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Provided by Guidehouse2023-07-24T18:22:00
Three out of four financial services firms that chose to outsource portions of their financial crime compliance function reported they were pleased with the results, according to a new survey conducted by Compliance Week and financial services consultancy Guidehouse.
The survey of 247 compliance professionals working at banks, financial technology firms, cryptocurrency firms, and nonbank financial institutions found 26 percent of respondents were currently outsourcing, while 14 percent were considering outsourcing.
Insights shared from respondents included:
2023-09-26T13:27:00Z By Adrianne Appel
Companies that haven’t yet set up verifiable reporting in their sustainability programs have a ready reference available in the framework put out by the Committee of Sponsoring Organizations of the Treadway Commission, experts discussed at CW’s virtual ESG Summit.
2023-09-25T18:57:00Z By Jeff Dale
Wisconsin-based broker-dealer Carl M. Hennig agreed to pay a $50,000 fine to settle allegations by the Securities and Exchange Commission it failed to comply with Regulation Best Interest.
2023-09-25T17:34:00Z By Kyle Brasseur
New York-based brokerage firm J.H. Darbie & Co. consented to pay a $125,000 penalty to resolve charges levied by the Securities and Exchange Commission that the firm failed to report suspicious activity regarding penny stock transactions.
2023-09-19T20:46:00Z Provided by Morgan Lewis
Compliance professionals asked to assess their anti-bribery and corruption efforts indicated resource support deficiencies in areas including staffing and technology, according to a survey conducted by Compliance Week and Morgan Lewis.
2023-07-18T07:30:00Z Provided by Riskonnect
The recent banking crisis—in which three mid-sized U.S. banks failed—prompted just under half of compliance professionals across all industries to reassess their TPRM procedures, according to a recent survey conducted by Compliance Week and Riskonnect.
2023-05-15T05:08:00Z Provided by FTI Consulting
Nearly two-thirds of senior compliance executives anticipate third parties to be the most heightened area of risk to their businesses in 2023, according to the results of a new study.
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