| Date |
Title |
Author |
Category |
| 30 Nov. |
AI Compliance Oversight is Here… and So Are Next-Gen Compliance Officers » |
Dave Ackerman |
Regulations |
| 18 Nov. |
"Call me Jay" – An open letter to SEC Chairman Jay Clayton » |
Dave Ackerman |
Regulations |
| 5 Nov. |
SEC Regional Directors Roundtable Illuminates Post-COVID Expectations for the Industry » |
Dave Ackerman |
Regulations |
| 30 Oct. |
Microsoft Teams & Compliance Recording: Your Pressing Questions Answered » |
Linda Haelsen |
Comm. Compliance |
| 14 Oct. |
With CFTC and Other Regulators Aggressively Pursuing Spoofing Cases, Firms Need A Safety Net » |
Paul Cottee |
Regulations |
| 5 Oct. |
Conduct: The Next Frontier in Surveillance » |
Linda Haelsen |
Holistic Surveillance |
| 25 Aug. |
Will COVID-19 Bring the Regulatory Easement the Buy-side Was Hoping For? » |
Dave Ackerman |
Regulations |
| 3 Aug. |
Buy-side Trade Surveillance Q&A: Experts Weigh in on Holistic Surveillance » |
Chris DeNigris |
Holistic Surveillance |
| 20 July |
SURVEIL-X Holistic Trade Surveillance Solution Enhanced with Self-Service Analytics for Custom Risk Detection » |
Arno Sybrandy |
Holistic Surveillance |
| 1 July |
State of Reg BI Compliance: With Reg BI now in full swing, where do firms stand? » |
Tim Armstrong |
Regulations |
| 20 May |
NICE Releases Integration of Trading Recording and Microsoft Teams to Drive Digital Transformation » |
NICE |
Comm. Compliance |
| 12 May |
Digitizing the Best Product Alternative Mandate: How to Comply with Reg BI and Add Value to the Advisory Business » |
Dave Ackerman |
Regulations |
| 4 May |
Winning the Compliance Battle on Multiple Fronts - Tackling Market Abuse and False Positives » |
Anurag Mohapatra |
Holistic Surveillance |
| 8 Apr. |
Reg BI is Not Going Anywhere – How Firms Should Move Forward » |
Dave Ackerman |
Regulations |
| 17 Mar. |
Trading Floors of Financial Institutions Eye Record-Keeping Contingencies Amid COVID-19 Crisis » |
Chris Wooten |
Comm. Compliance |
| 4 Feb. |
The United State of Surveillance: True Holistic Is Here » |
Matt Simon / Aite |
Holistic Surveillance |
| 29 Jan. |
3 Take-Aways From SIFMA’s Reg BI Forum » |
Dave Ackerman |
Regulations |
| 14 Jan. |
The Future of Holistic Surveillance in Asia » |
Linda Haelsen |
Holistic Surveillance |
| 2 Jan. |
Improved Compliance Recording of Microsoft Teams Through Advanced Interactions Capture » |
Arno Sybrandy |
Comm. Compliance |
