RegTech Insights

December 23, 2022

The SEC's enforcement actions against a private fund manager and its founder for alleged failures to track and surveil business-related communications highlights why using comprehensive and cutting-edge regulatory technology software tools is no longer an optional best practice.

December 08, 2022

We are delighted to be named one the 100 most innovative RegTech companies in the financial industry by FinTech Global and RegTech Analyst for the 5th time!

December 07, 2022

Compliance teams are increasingly challenged to keep regulatory pace and best practices while managing with fewer internal resources, demand for increased efficiency, and budget constraints. This leaves firms in danger of creating risky exposure gaps in their compliance program. Learn more about practical ways to address these challenges.

December 01, 2022

The SEC issued its four-year strategic plan for 2022-2026. We summarize the goals of the plan and explore what it means for the next four years.

November 29, 2022

Communication has always been integral to the investment world and, as technology evolves and expands, the need for adequate and equally evolved surveillance mechanisms has grown.

October 26, 2022

$1.1BN of fines were recently issued to sixteen high-profile financial services firms for communication failings, with more regulatory enforcement expected. Learn more about what this means for SEC-registered firms around the world.