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From prep-work to software, five steps to a more efficient and more effective process

Regulation, Best Practices, Automation, compliance, SEC, regtech, certifications, attestations

Ethics at the company level begin with ethics at the employee level

compliance, fintech, regtech, ethics, E&C

Push people into a financial corner and they can justify all kinds of conduct they might not..

SURVEILLANCE, compliance, fintech, regtech, ethics

Looking for a differentiator? Information security will reveal more than you think

Data, Best Practices, business, compliance, fintech, regtech, malware, information security, data security

The best laid plans of mice and men can go out the window when it's not your mice and men

business, compliance, fintech, regtech, third-party risk, audit

Governments are figuring out that whistleblowers deserve protection

Regulation, sapin 2, france, Italy, SEC, fintech, regtech, UK, whistleblower, Law No. 179/2017

Your Gen-X and Millennial employees love them. Here's what they, and you, need to know

compliance, SEC, fintech, robo-adviser, millennial, gen-x

Whether it's people or tech, a hard number is hardly the only way to think about compliance..

Software, Automation, business, compliance, fintech, regtech, ROI

Advisers Act Rule 206(4)-5 isn't breaking news, but is serious enough to warrant a refresher

Regulation, SURVEILLANCE, business, compliance, pay-to-play, SEC, Rule 206(4)-5

Need a fully automated, integrated solution but don't know where to begin? Start here

compliance, buy, build, checklist

This week, Elinphant CEO Elin Cherry lends us her expertise in handling this increasingly common..

Best Practices, SURVEILLANCE, compliance, initial coin offering, cryptocurrency, crypto

New anti-corruption measures will help keep everyone on their toes

corruption, Italy