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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.


Transforming information gatherers into information analyzers

Marc Andrews | July 11, 2017

The case for automating simpler data-driven aspects of compliance makes itself, but don’t forget how automation can further empower human CCOs, too.

White Paper

Harnessing data and analytics to transform compliance

Sponsored by KPMG | June 30, 2017

This paper sets forth five key areas that CCOs can utilize as they chart a course for more robust, and predictive, D&A capabilities. The viewpoints presented in this paper leverage the experience and insights of KPMG LLP’s (KPMG) compliance professionals and our top-rated D&A practice.

White Paper

Pulse Anti-Corruption aggregate data report

Sponsored by True Office Learning | June 21, 2017

True Office Learning’s (formerly NYSE Governance Services) adaptive technology, Pulse, allows you to extract advanced behavioral data from your compliance training, empowering you to benchmark and analyze your program. Learn how.

Tom Fox

Compliance in the 21st Century: Welcome to ComTech

Tom Fox | June 20, 2017

Automation and artificial intelligence stand to increase efficiency in compliance by a quantum leap. But human compliance officers still have a role to play … if they prepare for it now.