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Compliance

Thomson Reuters has launched SECPlus Advanced with features to improve the workflow of financial reporting professionals. Built on the strength of its SECPlus SEC Filings research solution, SECPlus Advanced offers more precise search options, new filtering capabilities, faster results navigation, instant access to related documents, and a new filings comparison feature.

Wolters Kluwer’s Finance, Risk & Reporting business is this year’s winner of Corporate Vision magazine’s “Most Innovative Integrated Regulatory Compliance & Reporting Platform” award. The publication has awarded the firm’s OneSumX suite the global accolade for 2017 as part of its annual Technology Innovator Awards – the second year running that Wolters Kluwer has triumphed in the award series.

Over the years, the field of compliance has evolved to meet increasingly rigorous, complex and substantial demands from regulators. The ever-increasing reach of regulation has strengthened and consolidated the position of compliance practitioners as professionals and the International Compliance Association (ICA) has supported individuals’ aim to become professional agents of change within their industries. Now ICA is pleased to be able to support firms in their efforts to optimise the benefits of compliance; so that they may become first-class, effective organisations, leading progress to a sustainable global marketplace.

Results of a new survey reveal that operational and technological change is high on the list of priorities for investment management firms. The report, which is being launched at the TSAM New York conference taking place today, reveals that over half (56%) of respondents expect their firm to replace at least part of their existing technology platform, while a quarter (27%) plan to outsource some areas of operation in the next 12 months in a bid to improve efficiency and focus on core operations.

Chartis Research has named Wolters Kluwer a Category Leader in its 2017 RiskTech Quadrant® for Enterprise GRC Solutions, marking the fourth consecutive time it has earned this distinction. Wolters Kluwer advanced to a top five position among vendors participating based on its governance, risk and compliance capabilities, moving up another notch since the last time Chartis conducted its Enterprise GRC Solutions market update.

At the 8th Annual Cloud Security Alliance (CSA) Summit at RSA in San Francisco today, Skyhigh Networks, the world’s leading Cloud Access Security Broker (CASB), unveiled a new survey, “Custom Applications and IaaS Report 2017.” Conducted in partnership with the CSA, the report provides striking details around widespread migration of custom or internally developed applications from corporate datacenters to infrastructure-as-a-service (IaaS) platforms such as the Amazon Web Services (AWS) Cloud, Microsoft Azure and Google Cloud Platform.

March 16, 2016 - The ability of financial institutions' compliance function to manage risk is being challenged by rising expectations for the function to play a stronger role in front-office processes, the increased volume and complexity of regulations, and a lagging data and technology architecture, according to a new compliance risk report from Accenture (ACN).

Chartis Research has named Wolters Kluwer a Category Leader in its 2017 RiskTech Quadrant® for Enterprise GRC Solutions, marking the fourth consecutive time it has earned this distinction. Wolters Kluwer advanced to a top five position among vendors participating based on its governance, risk and compliance capabilities, moving up another notch since the last time Chartis conducted its Enterprise GRC Solutions market update.

The Western Union Company (NYSE: WU) today announced agreements with the U.S. Department of Justice (DOJ) and Federal Trade Commission (FTC) that resolve previously disclosed investigations focused primarily on the Company’s oversight of certain agents and whether its anti-fraud program, as well as its anti-money laundering controls, adequately prevented misconduct by those agents and third parties. The conduct at issue mainly occurred from 2004 to 2012.

March 15, 2016 - ANZ today confirmed it engaged PwC in January 2016 to conduct an independent compliance review within its OnePath subsidiaries, following compliance breaches that were proactively reported to the Australian Securities and Investments Commission (ASIC) from early 2013.

Banking cooperative Swift has unveiled a number of initiatives designed to address the compliance challenges facing banks and corporates. The unveiling came at a Swift Business Forum in Zurich where Swift executives, corporate treasurers and bankers addressed member banks on a range of topics, from financial crime compliance to Switzerland’s fintech scene.

IBM is to acquire risk management and regulatory compliance consulting firm Promontory Capital and create a new subsidiary, Watson Financial Services, in which it will use artificial intelligence technology to keep pace with the rapidly changing financial reporting landscape.

March 14, 2016 - BasisCode Compliance today announced that Hardin Compliance is implementing the BasisCode Compliance™ software to help the full-service regulatory compliance consulting firm more easily manage compliance on behalf of its clients.

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