Compliance and Risk Management Concerns Up Nearly 30% at U.S. Banks and Credit Unions
October 15, 2014 - The concern U.S. banks and credit unions have over managing compliance and risk is up nearly 30 percent from almost two years ago, according to the latest Regulatory & Risk Management Indicator issued today by Wolters Kluwer Financial Services, a comprehensive provider of risk management, compliance, finance and audit solutions and services.
Jan Ford to Join Deutsche Bank as Head of Compliance for the Americas
October 9, 2014 - Deutsche Bank today announced that Elizabeth J. Ford (Jan) will join as a Managing Director and Head of Compliance, Americas. She will join the North America Executive Committee.
Linedata launches automated compliance monitoring service
October 8, 2014 - Linedata (NYSE Euronext: LIN), the global solutions provider dedicated to the investment management and credit industries, today announced the introduction of Linedata Disclosure Manager, an automated compliance monitoring service.
Swift offers one year free access to KYC Registry
September 29, 2014 - Swift will give free access to its new KYC Registry throughout 2015 to banks that contribute their own data to the service.
SEC fines BarCap $15 million for systemic compliance failures after Lehman acquisition
September 24, 2014 - The Securities and Exchange Commission today charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to ensure the firm did not run afoul of any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008.
Wolters Kluwer Audit, Risk & Compliance Launches Data Analytics Capabilities within TeamMate Solutions
September 22, 2014 - Wolters Kluwer Audit, Risk & Compliance announced today the integration of a comprehensive data analysis tool set within the industry-leading TeamMate Audit Management System.
Perseus Offers Global Trading Access and Risk Compliance for Eris Exchange
August 21, 2014 - Perseus Telecom, a leading provider of high-speed global connectivity, High Precision Time™ and Market-to-Market networks, announced today trading access and time verification is now available for Eris Exchange Swap Futures accessible at Equinix data centres in Chicago, London and Tokyo.
CCL launches ‘one-stop-shop compliance platform’ for regulated firms
August 8, 2014 - CCL, the international GRC consultancy, has launched a unique compliance platform that combines continually updated compliance content with an automated delivery system.
