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June 29 | Fireside Chat: Transitioning Compliance Technology Solutions

June 29 | Fireside Chat: Transitioning Compliance Technology Solutions
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How small and mid-sized firms can use technology to clear compliance hurdles

Experts say combining the right tech with human know-how can help small firms keep up with their massive counterparts. ....

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Morgan Stanley and UBS settle FINRA reporting cases

The wirehouses respectively ran afoul of requirements related to two industry recordkeeping systems over roughly three years, according to FINRA. ....

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ComplySci earns bronze Stevie® award, named Fastest Growing Tech Company of the Year

Acquisition fuels year of rapid growth and product offering expansion for ComplySci and family of firms.NEW YORK, May 2, 2022 /PRNewswire/ Comp. ....

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ComplySci 2022 CCO Playbook provides expert advice, actionable strategies and best practices for tech-enabled compliance programs

/PRNewswire/ ComplySci, the leading provider of regulatory technology and compliance solutions for the financial services sector, published its 2022 Chief. ....

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