Join us for this webinar at which subject matter experts provide guidelines for the review of your policies & procedures for compliance with the gift & entertainment laws, rules & regulations that apply to broker-dealers and investment advisers.
Concerns by U.S. banks and credit unions over heavy regulatory requirements and risk management have increased nearly 30% since January 2013, according to our latest Indicator.
See Press Release
Pictet has selected our Financial Risk Management solution for its Geneva operations. The solution will be integrated with our Regulatory Reporting capabilities to create one platform, enabling a deeper understanding of their risk portfolio.
TeamMate and Reinvent Data have formed an exclusive alliance to integrate powerful data analysis functionality into every audit, making data mining more effective and efficient.
Kathy Donovan will host two webinars to provide an in-depth review of the most frequent market conduct issues from 2013. Session 1: Property & Casualty, Thurs., Oct. 23rd - 2PM (EST) Session 2: Life & Health, Tues., Oct. 28th - 2PM (EST).