Could Brexit bring MiFID III with it? In this in-depth report, we spoke with industry experts and analysed why this is a very real prospect (and what you need to keep in mind).
If GDPR (and the Cambridge Analytica scandal) has taught us anything, it’s that data and an individual's rights in relation to it, cannot be ignored.
The Senior Managers & Certification Regime (SM&CR) is a time-sensitive piece of regulation that's a little different to the regulatory tsunami that preceded it. But, how exactly?
The requirements under SEC Rules 17a-3 and 17a-4 are particularly high, with the regulator demanding extensive records of all trades carried out by broker/dealers.
A free eBook for organisations to learn how website archiving can help meet compliance, legal and digital preservation requirements in an era of online communications