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 ...

* Today’s newsletter is co-authored by Brian Musthaler, a principal IT audit consultant at Essential Solutions. Thanks to companies like Enron, WorldCom and Healthsouth, all U.S. public companies live ...

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 ...

Software tools designed to assist regulatory compliance include products that handle data collection, storage, retrieval and deletion, from vendors such as EMC, FileNet, Meridio and Zantaz; ...

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 ...

Marketing teams now release content faster than ever, while regulations and internal brand rules grow more complex each year.

As regulatory expectations continue to expand across financial and non-financial sectors, small and medium enterprises (SMEs) and startups are increasingly reevaluating the AML compliance software ...

The Department of Defense wants to bolster the number of small contractors it does business with, so it's planning to debut a series of free software tools to make it easier to work with industry. As ...

Compliance regulations are constantly evolving, and nowhere is this more critical than in the financial services industry. Financial institutions face high stakes when it comes to compliance; failure ...

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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 ...