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Latest honor recognizes the company as a cloud innovator and further signifies the need for AI-driven compliance monitoring solutions in the cloud, especially for financial institutions.
As financial institutions address the evolving regulatory environment, Shield boosts growth with support from its existing investors and UBS
The Financial Industry Regulatory Authority (FINRA) just announced that it will begin conducting an investigation into retail communications by broker-dealers regarding products and services in the cryptocurrency markets. Some analysts are being bold enough to call this move by the regulatory authorities a “sweep.”
For many financial service firms, WhatsApp is a crucial communication tool in their business, archived WhatsApp communications are mandatory by the regulator in order to keep your company compliant. Here is how you can make sure to keep compliant.
With the penalties for non-compliance becoming increasingly costly, banks are looking to strengthen their surveillance efforts.