RegTech Insights

December 06, 2023

Having a knowledgeable, engaged business partner behind you will help ensure that technology is implemented effectively and adopted successfully.

November 02, 2023

The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.

October 23, 2023

Firms need to be proactive in their approach to AML and sanctions compliance. Following this checklist can create a good foundation for an effective program.

September 19, 2023

This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.

September 13, 2023

By analyzing recent cases, institutions can identify regulatory trends and enhance their compliance framework to mitigate potential risks.

August 11, 2023

The U.S. SEC has charged 11 financial firms for failing to maintain electronic communications, imposing penalties of over $289 million. This is part of a broader crackdown, with previous cases involving similar charges and penalties exceeding $1.5 billion, raising industry concerns about proper recordkeeping.