Search Results for: Compliance and Surveillance

RegVerse, a Surge Ventures Company, Expands Avery Platform with Fusion1 Product Suite to Drive the Future of Seamless Compliance and Surveillance
Finance Fintech News

RegVerse, a Surge Ventures Company, Expands Avery Platform with Fusion1 Product Suite to Drive the Future of Seamless Compliance and Surveillance

PR Newswire
by PR Newswire0
The award-winning Avery platform now includes Fusion1—a comprehensive suite of AI-enabled automated workflow tools to increase the reliability and accuracy of RIA and Broker-Dealer compliance and surveillance programs Surge Ventures, a FinTech Venture Studio, proudly announced that its inaugural venture, RegVerse, has expanded its Avery platform by launching the Fusion1 product suite.......
Broadridge Acquires Innovative Compliance and Surveillance Solution for Broker-Dealers
Fintech News

Broadridge Acquires Innovative Compliance and Surveillance Solution for Broker-Dealers

Fintech News Desk
by Fintech News Desk0
Broadridge Financial Solutions, Inc., a global Fintech leader, announced that it is further enhancing its regulatory compliance capabilities for broker-dealers with the acquisition of the cloud-based Execution Compliance and Surveillance Service (ECS) assets from Jordan & Jordan. The solution provides a combination of surveillance and regulatory reporting as well as......
InvestEdge Acquired by Featheringill Capital
Fintech Investment Services News

Sanctuary Wealth Chooses InvestEdge as Compliance and Surveillance Partner

Fintech News Desk
by Fintech News Desk0
Application tied to client’s IPS helps advisors more easily comply with SEC & FINRA regs Sanctuary Wealth, home to the next generation of elite financial advisors, has added the InvestEdge Compliance and Surveillance application to its open architecture platform. Thirty-eight partner firms in 16 states with over $10 billion in assets under advisement comprise......
Snowden Lane Partners Selects the ComplianceEdge Trade Surveillance and Account Monitoring Solution from InvestEdge
Finance Investment Services News

Snowden Lane Partners Selects the ComplianceEdge Trade Surveillance and Account Monitoring Solution from InvestEdge

Fintech News Desk
by Fintech News Desk0
Proven Workflow and Case Management Tools Improves Accuracy and Efficiency Snowden Lane Partners, a hybrid Broker-Dealer and Registered Investment Advisor financial services firm based in New York City, has gone live with the ComplianceEdge Trade Surveillance and Account Monitoring solution from InvestEdge. InvestEdge Inc., is a leading provider of innovative advisor......
Nasdaq’s Annual Global Compliance Survey 2020: Accelerating Surveillance Technology Demand From Financial Firms During COVID-19
Business Fintech News

Nasdaq’s Annual Global Compliance Survey 2020: Accelerating Surveillance Technology Demand From Financial Firms During COVID-19

Fintech News Desk
by Fintech News Desk0
Nasdaq launched its 6th annual Global Compliance Survey produced in collaboration with Greenwich Associates. The survey gathers qualitative and quantitative feedback from more than 200 compliance professionals and executives in the financial industry worldwide, representing sell- and buy-side firms and market infrastructure organizations. Unique to the latest edition of the Global Compliance Survey, respondents cite......
IPC and LeapXpert Partner for Federated Messaging Governance and Compliance
Compliance management Fintech News

IPC and LeapXpert Partner for Federated Messaging Governance and Compliance

PR Newswire
by PR Newswire0
IPC, the leading provider of secure, compliant communications and multi-cloud connectivity solutions for financial markets, has partnered with LeapXpert, the responsible business communication pioneer, to provide enhanced messaging communications capture, governance and compliance capabilities to regulated financial businesses. In an increasingly digital workplace with growing use of messaging channels alongside......
New Smarsh Research Finds Two-Thirds of Financial Services Employees Are Open to AI Being Used to Identify and Mitigate Non-Financial Misconduct in their Organisation
Finance Fintech News

New Smarsh Research Finds Two-Thirds of Financial Services Employees Are Open to AI Being Used to Identify and Mitigate Non-Financial Misconduct in their Organisation

Business Wire
by Business Wire0
Findings come as pressure mounts for firms in the sector to implement effective systems to better prevent bullying, sexual harassment and discrimination in the workplace Smarsh, the global leader in communications data and intelligence, published the results of its latest research. The study reveals that 66% of UK employees working......
Digital Payments Finance Fintech Guest Posts Risk Management Security

Ensuring PCI DSS Compliance in Finance

Pukar Hamal
by Pukar Hamal0
By Pukar Hamal, Founder and CEO at SecurityPal Payment card fraud is projected to hit $13.73 billion by the end of 2024. Can PCI DSS prevent such massive losses? In 2013, hackers stole data from 40 million credit and debit cards at Target, costing the company $292 million. Investigators found......
Vertex Acquires ecosio To Accelerate Global E-Invoicing Compliance
Finance Fintech News Risk Management

Eventus and ANCORD enter into a partnership to offer ANCORD members a trade surveillance solution

PR Newswire
by PR Newswire0
Eventus brings Validus solution to Brazil following a regulatory action that obliges brokers to take responsibility for monitoring their trade surveillance Eventus, the leading provider of comprehensive, at-scale trade surveillance and financial risk solutions, has partnered with ANCORD, Brazil’s National Association of Securities, Foreign Exchange and Commodities Brokers and Dealers, to make Eventus’ award-winning......
Global Relay Announces Integration with OpenAI's ChatGPT Enterprise Compliance API
Artificial Intelligence Finance Fintech News

Global Relay Announces Integration with OpenAI’s ChatGPT Enterprise Compliance API

Business Wire
by Business Wire0
Global Relay introduces Connector for ChatGPT Enterprise to provide compliant AI communications data archiving, recordkeeping Global Relay, the leading provider of communications compliance solutions for regulated industries, announces its integration between OpenAI’s ChatGPT Enterprise Compliance API and Global Relay’s financial compliance platform. The new compliance capabilities launched by OpenAI in conjunction with......
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