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 ...

Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...

You’ve just closed a massive deal with a dream enterprise client. Then, the email lands: “Please send over your SOC 2 Type II report.” Panic sets in. You don’t have one. You have a folder of ...

Automation technology in compliance is paving the way for a transformative approach to risk. Organizations that fully embrace compliance automation can shift from merely identifying and mitigating ...

The companies say their software solution is designed to make EPR and PPWR reporting across all EU markets easier and more ...

This acquisition establishes SwiftComply as the definitive, multi-program compliance platform for municipal water utilities ...

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 ...

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 ...

Running behind on meeting the EU’s new GDPR privacy rules? These tools can help you meet the requirements and stay in compliance by deadline. The European Union’s General Data Protection Regulation ...

This content is provided by an external author without editing by Finextra. It expresses the views and opinions of the author. Accuity's Online Compliance, powered by WorldCompliance, is an online ...

Honeywell (HON) unveiled new capabilities for its Safety Suite 2.0 software platform on Tuesday, expanding the software's ability to monitor fleets of portable gas detection devices used in industrial ...