Continuous compliance: Rather than preparing for audits, agents continuously monitor validation completeness, test coverage, ...

RIAs are subject to stringent compliance policies and procedures – fiduciary obligations, disclosure rules, and exams and inspections, to name a few. Often, meeting these requirements eats into the ...

The issue of compliance is forever on the minds of IT executives, and even more so in the last 10 years, due to increased audit activities by software vendors, complex licensing rules and the ...

Compliance regulations are constantly changing, and organizations are struggling to keep up. The stakes are high. Failing to adhere to legal requirements can result in serious repercussions from ...

Compliance is a fundamental part of an RIA’s operations. It’s not something your firm can choose to do or not do as non-compliance can lead to significant financial and legal penalties. But compliance ...

Ernie Honya focuses on lowering AML and KYC compliance costs for emerging FinTech companies. LOS ANGELES, CALIFORNIA, Jan. 15 ...

Who’s best able to make sure your company stays up to date and compliant in the face of ever changing regulations and standards? For a growing number of companies, the answer is a ...

The brand-new CIO of a large financial services organization had been on the job less than a week when a major software vendor handed him a bill for unauthorized usage to the tune of $1 million. By ...

With one open source monitoring vendor is repeating calls that nearly 71 percent of open source mobile apps are out of license compliance, the question of what actual priority free and open source ...

Even the best intentions sometimes have unexpected results. The Sarbanes-Oxley Act of 2002 was enacted in reaction to the Enron and WorldCom financial debacles, where poor internal controls resulted ...