Compliance becomes a core competence for financial firms - CCS
August 11, 2015 - A new survey of financial services professionals conducted by Cipperman Compliance Services (CCS) reveals that asset managers, broker-dealers, and other firms are embracing compliance as a core function of their business, with an equal number of respondents reporting that they now spend as much on compliance as they do their legal counsel.
Arkk Compliance provides support for regulatory filings
July 21, 2015 - This week sees the launch of a new service for regulated financial services firms. Arkk Compliance has already been working with a number of investment firms on COREP and AIFMD filings since a soft launch in April this year.
FCA fines rocket to £800 million, Wolters Kluwer research shows
July 7, 2015 - Regulatory and risk technology firm outlines research showing staggering increase in fines for first half of 2015.
82% of financial institutions are failing to capitalise on regulation to drive business change
June 17, 2015 - Today, GFT, one of the world's leading IT solutions and consultancy providers to the banking sector, releases the findings from a global research project aimed at uncovering the attitude of the global investment banking community to 'The New Normal' - a constant state of regulatory change.
Frank Santora of Hudson City Savings Bank Receives MetricStream "GRC Journey Visionary Award"
June 9, 2015 - The award recognizes Frank Santora's role in driving an industry-leading Enterprise GRC program at Hudson City Savings Bank.
National Regulatory Services Releases ComplianceMAX Customer Complaints Module
May 27, 2015 - National Regulatory Services (NRS), part of Accuity, today announced the release of the ComplianceMAX (cMAX) Customer Complaints Module, created to allow its users to confidently manage, utilize and archive information pertaining to customer complaints. The module helps broker-dealers comply with FINRA Rule 4530 by centralizing all customer complaint information into a configurable workflow and automating FINRA filings.
Thomson Reuters publishes cost of compliance survey
May 13, 2015 - Thomson Reuters, the world's leading source of intelligent information for businesses and professionals, has published the findings of its sixth annual Cost of Compliance survey which revealed that regulatory fatigue, resource challenges and personal liability are expected to increase throughout 2015.
Capital Advisors Group selects Linedata to address compliance workflows
May 12, 2015 - Linedata (NYSE Euronext: LIN), the global solutions provider dedicated to the investment management and credit industries, today announced that Capital Advisors Group has implemented Linedata Compliance for its institutional separate account business.
