The pandemic-induced lockdown put compliance systems to the test for many financial services firms because so many employees, including those on the trading floors, were suddenly working from home and more vulnerable to attack. At the same time, the pandemic put on hold cutting-edge, emerging technologies and their usefulness for compliance as firms braced themselves… Read More >>
Firms Should Fund Ops Despite Fee Woes: Q&A
(FTF News recently got time to talk with David Campbell, vice president, strategy and business development — message automation for Broadridge Financial Solutions, about the company’s win via the 2020 FTF News Technology Innovation Awards. The systems and services provider to Wall Street firms got the most votes to win the honor of Best RegTech… Read More >>
Buy Side Using Manual Systems for Regulatory Compliance: Survey
Despite nearly a decade of intense regulatory reforms, many financial services firms appear to have a “high level of dependence on manual processes” for regulatory compliance, according to a new survey from market research and advisory firm Aite Group and governance, risk and compliance services provider Cordium. This reliance makes securities firms more vulnerable to… Read More >>
