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4231 Results from /regulation

Retired Member

Retired Member 

Three Compliance Considerations for Hybrid and Remote Working

The pandemic has changed our way of life, not least in the way we work. It has shown us that one size does not fit all when it comes to balancing work and personal lives. As we come out of numerous lockdowns, we’re not seeing a return to the “old normal”. Businesses are changing their models and continuing to experiment, and we are seeing three ...

/regulation

Karen Hsu

Karen Hsu CMO at Appdome

BSA Compliance and FFIEC Examinations for Mobile Apps

Thanks in large part to the global pandemic, consumers are increasingly turning to mobile apps to manage their finances, payments and transactions. In fact, 58% of mobile consumers report using and downloading more mobile apps and buying more products and services on them since the COVID-19 pandemic started, according to the Appdome 2021 Global M...

/security /regulation Financial Services Regulation

Adam Pogorzelski

Adam Pogorzelski CEO at Code & Pepper

Security Standards in FinTech App Development

The UK is a very demanding market for everybody. Including FinTech, which must operate similarly to regular banking institutions. Both legal and technological requirements are there to protect customers’ money. Applied FinTech security standards benefit customers and FinTech organizations and please regulators. What regulations should you take ca

/security /regulation Information Security

Steve Dourdil

Steve Dourdil Business Development at Kerv Collaborate

Compliance Recording Has Come Full Circle

It seems hard to believe that it was only 10 years ago that the FSA, as it was known back then, removed the mobile phone taping exemption from the call recording rules introduced in March 2009 with COBS 11.8. The initial legislation, designed primarily to tackle market abuse, required capital markets participants to capture and retain all relevant

/regulation /crime Financial Risk Management

Gustavo De La Torre

Gustavo De La Torre Director of Business Development at n.exchange

Sorry, Warren and gang, but crypto isn't going anywhere

Legislators come and go, but some things stick around, despite the best attempts to make a change. Enter center stage Sen. Elizabeth Warren and colleagues—as well as a few academics in the likes of Robert Manning—who've made headlines the last month scolding cryptocurrency and the dangers it poses to the financial system and cybersecurity. The arg...

/regulation /crypto Cryptocurrency Insights

Nish Kotecha

Nish Kotecha Co-Founder & Chairman at Finboot

Passports for products as well as people – enhancing trust through technology

Passports provide a licence to travel while also providing security – an established international recognition of proving identity and accompanying a ticket to ride. Passports have also come back into conversations in the last few months through vaccine passports. Covid-19 has forced the imposition of restrictions on our ability to move from one co...

/regulation /sustainable Blockchain Observations

Roy Prayikulam

Roy Prayikulam SVP Risk & Fraud Division at INFORM GmbH

AML/CTF monitoring - holistic approach and hybrid AI for higher hit rates

For years, financial institutions have been using automated monitoring procedures to make their processes for detecting money laundering and terrorist financing as effective and efficient as possible. However, many of the solutions used still leave much to be desired in terms of effectiveness and efficiency. Silo architectures, a lack of cross-dep...

/regulation /crime Artificial Intelligence and Financial Services

Simon Gilbert

Simon Gilbert Founder at Elmore

Managing risk: The challenge for challenger banks

Think of an athlete attempting to beat a ‘personal best’, or someone scaling a mountain. Both are individual challenges. In the business world, we’re now used to hearing about another type of challenge, or more accurately, ‘challengers’. Namely, disruptive start-ups who are turning traditional business models on their heads and taking on industry ...

/regulation /crime FintechInsuranceMatters

Anna Monteiro

Anna Monteiro Global Head of Business and Product Development at www.solutions-atlantic.com

Slow Third Quarter for Foreign Direct Investment Changes

As expected, it’s been a slow third quarter for changes to foreign direct investment (FDI). Following on from my last update, we’ll start in the AsiaPac region and move westward. Australia has been evaluating the reforms to foreign direct investment that commenced in beginning of the year. The Treasury is evaluating whether these reforms have stru...

/regulation /markets Financial Services Regulation

Robert Prigge

Robert Prigge CEO at Jumio

The top 5 tips for staying AML compliant

In recent years, anti-money laundering (AML) has become an increasingly sophisticated criminal activity. It’s estimated that between 2% and 5% of global GDP is laundered each year, and identity theft has now become one of the top money laundering trends. It’s therefore not surprising that AML rules have been required to keep up. In a race to stop ...

/regulation /identity

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