Category : Compliance management

Building an RIA From the Ground Up Starts With Compliance Infrastructure, Not Post-Launch Remediation
Compliance management Investment Services News

Building an RIA From the Ground Up Starts With Compliance Infrastructure, Not Post-Launch Remediation

EIN Presswire
by EIN Presswire0
New thought leadership from RIA Compliance Technology explains why early compliance design helps new RIAs improve scalability, exam readiness, and firm value. New registered investment advisory firms often devote early attention to client acquisition, investment operations, and growth strategy, while treating compliance infrastructure as something to formalize later. New thought......
MaxiSend Releases Overview of Security and Compliance Standards for Money Transfers
Compliance management News

MaxiSend Releases Overview of Security and Compliance Standards for Money Transfers

EIN Presswire
by EIN Presswire0
MaxiSend Pulls Back the Curtain on Compliance MaxiSend outlined the compliance and consumer protection standards that govern every transaction processed through its network of more than 5,000 agent locations across 47 states. Without compliance, customers cannot be protected. That is why I love it.” — Laura Estrada, VP of Compliance,......
illumend CEO Kristen Nunery Says The Real Measure of AI in COI Tracking Is Compliance Intelligence, Not Document Processing Speed
Compliance management InsurTech News

illumend CEO Kristen Nunery Says The Real Measure of AI in COI Tracking Is Compliance Intelligence, Not Document Processing Speed

PR Newswire
by PR Newswire0
As AI becomes common across COI tracking platforms, Nunery urges non-insurance professionals to evaluate whether the technology delivers stronger compliance judgment, clearer guidance and more consistent risk oversight As artificial intelligence becomes a standard claim in Certificate of Insurance (COI) tracking software, Kristen Nunery, CEO of illumend, the next-generation AI......
Comply Launches Financial Services' First Agentic Compliance Platform MCP Server, Enabling Teams to Build Custom AI Agents Without Developers
Compliance management Fintech News

Comply Launches Financial Services’ First Agentic Compliance Platform MCP Server, Enabling Teams to Build Custom AI Agents Without Developers

GlobeNewswire
by GlobeNewswire0
Build custom agents to automate pre-clearances, certifications, and policy guidance no developers needed. Comply, the SaaS and AI compliance platform built for the agentic era,  announced the ComplyAI MCP Server, RegTech’s first enterprise-grade Model Context Protocol (MCP) server built specifically for financial services compliance. The ComplyAI MCP Server connects Comply’s compliance intelligence......
Why Growth-Stage Fintechs Must Move from Reactive to Proactive Compliance
Business Compliance management Fintech Guest Posts

Why Growth-Stage Fintechs Must Move from Reactive to Proactive Compliance

Emmett Shipman
by Emmett Shipman0
It was a 1-2 punch that changed everything for banks. First, the left jab: the internet eroded the geographic moats that kept traditional baking structures relevant and in demand. Then came the right hook: the rise and ubiquity of the smartphone fundamentally changed how customers expected to consume financial products.......
Associate Owners Group Acquires Your IA, Expanding AOG’s Footprint in the Registered Investment Advisory Space
Compliance management Investment Services News

Associate Owners Group Acquires Your IA, Expanding AOG’s Footprint in the Registered Investment Advisory Space

EIN Presswire
by EIN Presswire0
Associate Owners Group (AOG) is proud to announce it has acquired Your IA, a rapidly emerging Registered Investment Advisor headquartered in St. George, Utah. Associate Owners Group (AOG) is proud to announce it has acquired Your IA, a rapidly emerging Registered Investment Advisor headquartered in St. George, Utah. Led by......
CleerCheck Launches AI-Powered Client Verification for Compliance-First Teams
Artificial Intelligence Compliance management News

CleerCheck Launches AI-Powered Client Verification for Compliance-First Teams

EIN Presswire
by EIN Presswire0
New platform automates identity verification, background screening, and AML/KYC compliance with real-time AI risk scoring for businesses onboarding clients. CleerCheck announced the public launch of its AI-powered client verification platform, built to help compliance-first businesses automate identity verification, background screening, and regulatory compliance workflows from a single, unified interface. CleerCheck......
spektr Raises $20M Series A to Eliminate Manual Compliance Work Across Financial Services
Compliance management Finance News

spektr Raises $20M Series A to Eliminate Manual Compliance Work Across Financial Services

Business Wire
by Business Wire0
The platform replaces manual KYC and KYB work with specialized AI agents, built for banks and fintechs. spektr, the Copenhagen-based company building AI infrastructure for compliance in financial services, announced it has raised $20 million in Series A funding led by NEA, with participation from existing investors including Northzone, Seedcamp,......
Resolver Named a SPARK Leader in Governance, Risk, and Compliance Platforms and IT Risk Management
Compliance management News

Resolver Named a SPARK Leader in Governance, Risk, and Compliance Platforms and IT Risk Management

EIN Presswire
by EIN Presswire0
Recognition reflects the platform’s depth across enterprise risk, compliance, audit, and IT risk management Resolver, a Kroll Business, has been named a SPARK Leader in Governance, Risk, and Compliance Platforms and IT Risk Management for Q1 2026. The SPARK Matrix™ is QKS Group’s independent vendor evaluation framework, scoring providers on......
FinTech Compliance Costs Hit 20% of Budgets, Driving Developer Hiring to Latin America
Compliance management Fintech News

FinTech Compliance Costs Hit 20% of Budgets, Driving Developer Hiring to Latin America

EIN Presswire
by EIN Presswire0
US fintech startups turn to Latin America for developers with PCI DSS, SOX, and AML/KYC expertise as regulatory compliance consumes up to 20% of budgets. Regulatory compliance now consumes 15 to 20 percent of operating costs for fintech companies, according to multiple industry analyses. The pressure is acute for startups......
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