The Shield resources hub

[The New Compliance Normal] Regulators have been hyperactive: will this pattern continue?

At the onset of the global pandemic, regulators exhibited all sorts of atypical activities. They relaxed regulations and offered temporary relief from injunctions. Market abuse investigations were put on hold and a flurry of the communique was issued that encouraged brokers to uphold a high ethical standard as the world, seemingly overnight, stopped

Read More
[The New Compliance Normal] COVID-19 accelerated the migration of financial firms to the cloud

The first in a series of blog posts dedicated to “the new compliance normal.”

Read More
With remote work on the rise, regulators are now calling for stricter employee monitoring

The world has been teetering on the edge of market abuse given an overnight shift from working in controlled environments under exacting compliance protocols to working from home on unapproved but popular eComms platforms like zoom and WhatsApp. One case that recently came to news is the story of Moderna

Read More

More Articles

Shield Joins Microsoft's One Commercial Partner Program
Shield Joins Microsoft’s One Commercial Partner Program

We're proud to announce it has been selected by Microsoft to join it’s One Commercial Partner (OCP) program, which provides best-of-breed Cloud-based solutions. The partnership means the Shield platform is now available on Microsoft's App Source and Azure Marketplace enabling a closer working relationship and collaboration between Shield and Microsoft, benefitting financial industry customers looking to leverage the combined power of both platforms.

trading from home insider trading
Trading from home: how firms are adapting to COVID-19

You don’t need to be a futurist to guess how this is going to play out. When over a million licensed traders simultaneously shifted overnight from trading billions of dollars within secured offices to trading from their kitchens and bedrooms, the situation created countless opportunities for market abuse. And chaos in the markets.

The new compliance normal for blog (1)
The new compliance normal

Financial Services had to rapidly change the way they operate in recent months with compliance taking one of the biggest hits. We collaborated with industry leaders to bring you a comprehensive guide on addressing the challenges the current crisis brings with it.

Monitoring in the time of Corona
Monitoring in the time of Corona [gated content]

A four-minute deck that we created following the immense market change we all are going through. A manual operation that is built upon siloed, on-prem software now needs to allow traders to trade from home, to conduct customer conversations on non-monitored channels, and provide access to employees to data that are working from non-secured networks.

Shield launches Advanced Workflow to fully align compliance surveillance with business processes and needs

We are proud to announce the launch of our new Advanced Workflow function as part of the Shield eComms Surveillance platform. The new functionality allows financial firms to build their own workflows and business processes in the application, ensuring compliance investigations meet the requirements of the business, and enabling different teams to be managed from one central platform.

COVID-19_ financial regulators are watching – and waiting
COVID-19: financial regulators are watching – and waiting

Everyone unilaterally agrees that COVID-19 represents an unprecedented period in history. Governments and other regulatory authorities have been caught equally off-guard as the constituents and institutions that they support and empower. Here is how they reacted

Load More