Survey finds over 50 percent of investment firms are unprepared for GDPR’s May 25 deadline, but financial services is still ahead of the game compared with other sectors.
State regulator's rules come into effect for a broad swath of financial firms in New York, presenting unique challenges.
Firms' confidentiality policies need to adapt to the changes in social media and technology.
A bevy of new products are now in focus as Finra's latest examination priorities once again highlight suitability.
Electra will manage and maintain data feeds with brokers.
UK-based compliance specialist Cordium is partnering with New York-based technology provider Indus Valley Partners (IVP) to offer a solution for the Alternative Investment Fund Managers Directive’s (AIFMD) Annex IV reporting requirements.