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Software Demo

Compliance Central: The all in one compliance platform for controls, reconciliations and certifications

Sponsored by Compliance Central | November 6, 2017

Compliance Central is a platform solution that is used to document & test controls, reconcile accounts, approve documents and process secure certifications. 


Managing compliance in a small FinTech company

Kylie Greeff | October 31, 2017

Managing compliance at a small company where life moves fast and risk is the stimulant of choice isn’t for everyone, but here is how you can make it work for you.

Software Demo

ProcessUnity Vendor Cloud Software Overview

Sponsored by ProcessUnity | October 31, 2017

With third-party risk automation, you can easily and efficiently minimize the risk to your valuable intellectual property and sensitive customer data, while also meeting the increasingly stringent regulatory requirements of your industry. Watch the video demonstration to learn more about ProcessUnity Vendor Cloud.


Is artificial intelligence ready for financial compliance?

Daniel Fernandez | October 24, 2017

“Artificial intelligence” and “machine learning” are red-hot compliance buzzwords, but what do they really mean? And how can you actually incorporate them into your compliance program?

White Paper

Changing Expectations for Compliance Training

Sponsored by True Office Learning | October 24, 2017

library and an expert instructional design team focused on custom courseware. If you still think a check-the-box approach is right for you, download this whitepaper.

White Paper

Cyber Pulse Check aggregate report

Sponsored by True Office Learning | October 12, 2017

Pulse Check is available in both off-the-shelf and custom diagnostics to help you quickly measure your employee’s grasp on topics ranging from Culture of Compliance to Anti-Corruption to Cybersecurity. Download a Pulse Check aggregate report to see the rich insight this diagnostic can provide.

News Article

U.K. considering proposals to enforce better cyber-security

Neil Hodge | August 22, 2017

As the U.K. tries to get businesses to protect themselves better against cyber-risk, recently proposed rules all have significant compliance implications.


How electronic trading strengthens execution in the muni market

Hardy Manges | August 8, 2017

As electronic trading becomes more commonplace, especially in the municipal bonds market, there are plenty of compliance benefits to be had.


Biometrics, cash, and the end of money laundering as we know it?

Compliance Week | August 1, 2017

As the technology to facilitate cashless transactions becomes more widespread, it can play an important role in know-your-customer and anti-money laundering efforts.

News Article

Getting ready for SEC cyber-security tests

Eldon Sprickerhoff | July 18, 2017

The SEC is testing investment firms for cyber-security readiness. Preparing for it is a marathon, not a sprint.