Search Results for: Financial Services

TRENDS and GUIDANCE FOR MANAGING HR MISCONDUCT, REGULATORY COMPLIANCE RISK

TRENDS and GUIDANCE FOR MANAGING HR MISCONDUCT, REGULATORY COMPLIANCE RISK

Research Desk Jul 08, 2021

Every day, we see global financial firms in news headlines as they very publicly grapple with misconduct and compliance challenges. They’re being hit with significant fines and experiencing incalcul...

FOUR COMPLIANCE TRENDS FOR 2021

FOUR COMPLIANCE TRENDS FOR 2021

Research Desk Jul 08, 2021

If 2020 was the year the financial services industry was turned on its head, what’s in store for compliance professionals in 2021? In this white paper, we take a look at some of the key themes se...

9 HEDGE FUND SCANDALS THAT COULD HAVE BEEN PREVENTED

9 HEDGE FUND SCANDALS THAT COULD HAVE BEEN PREVENTED

Research Desk Jul 08, 2021

More often than not, non-compliance and financial misconduct can be caught before it results in substantial regulatory fines, intense media scrutiny and even jail time for those involved. Unfortuna...

CONDUCT UNDER THE SPOTLIGHT – THE COMPANIES MAKING HEADLINES FOR ALL THE WRONG REASONS

CONDUCT UNDER THE SPOTLIGHT – THE COMPANIES MAKING HEADLINES FOR ALL THE WRONG REASONS

Research Desk Jul 08, 2021

Every day, we see global firms in news headlines as they very publicly grapple with misconduct and compliance challenges. They’re being hit with significant fines and experiencing incalculable brand...

HOW TO CREATE A MODERN COMPLIANCE PROGRAM

HOW TO CREATE A MODERN COMPLIANCE PROGRAM

Research Desk Jul 08, 2021

The year of 2020 changed compliance forever. When investment professionals started to work from home, across an expanded and decentralized risk map, compliance teams quickly discovered they were il...

HOW BEHAVOX COMPLIANCE PROTECTS BANKS

HOW BEHAVOX COMPLIANCE PROTECTS BANKS

Research Desk Jul 08, 2021

Banks are subject to intense scrutiny to protect against non-compliant behavior. With employees utilizing an ever-increasing number of communication platforms, regional sprawl, and growing instances o...

RADICAL TRANSPARENCY: MANAGING RISK IN A NEW FINANCE ERA

RADICAL TRANSPARENCY: MANAGING RISK IN A NEW FINANCE ERA

Research Desk Jul 08, 2021

Covid-19 accelerated change across the finance industry, as employees worked from home, and their clients and consumers did the same. The focus on digital finance has reached every corner of the fi...

Radar 11: The Global RegTech Revolution

Radar 11: The Global RegTech Revolution

Research Desk Jul 08, 2021

In the eleventh edition of Radar Magazine we look at how major changes in the world of financial services, reflecting on the evolution of regulatory intelligence whilst also evaluating what the future...

Delta Capita Obtains International Compliance Partners

Delta Capita Obtains International Compliance Partners

Insights Desk Apr 22, 2021

Delta Capita, a division of Prytek known as a global provider of managed services with an out-of-the-box combination of experience and expertise in financial services and potential in groundbreaking t...

Dubai Fintech Sarwa Makes Expansion Plans in Saudi Arabia

Dubai Fintech Sarwa Makes Expansion Plans in Saudi Arabia

Insights Desk Jan 13, 2021

Sarwa, the Dubai-based investment advisory platform, on January 10, 2021, announced expansion plans to Saudi Arabia, post gaining the fintech experimental permit from Saudi’s Capital Markets Authori...

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