Your Written Supervisory Procedures are more sophisticated than your supervision technology. For...
FINRA's Annual Conference draws the compliance community's full attention every year. This year,...
Mira is the first supervision agent to build a complete, longitudinal picture of every advisor —...
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For most of the past two decades, reviewing a fraction of firm communications was not a compliance...
Next up in our Employee Spotlight series is Alice - our first UK-based feature - who stepped up...
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AI Supervision Addressed the Volume Problem. What's Next? Ask most compliance leaders what AI...
Compliance infrastructure is one of the hardest technology investments to approve internally, and...
It started with JPMorgan in December 2021 - a $125 million fine for WhatsApp recordkeeping failures...
When a compliance officer resigns, the initial reaction at most firms is measured. The platform is...
Next up in our Employee Spotlight series is Evie, who started out in our Manchester office in the...