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Regulatory Intelligence Solutions

An effective risk management and compliance program necessitates a strong understanding of the complex and changing regulatory environment and the deployment of that knowledge to the right people, enabling the right decisions at all levels of the organization.

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Individual Retirement Accounts and Hurricane-Related Tax Relief

(Published November 9, 2017) There are deadlines for performing certain individual retirement account (IRA) related transactions. However, a federally declared disaster area designation can give relief (including extensions) to affected taxpayers, allowing them to complete certain transactions at a later date.

The U.K. FCA’s proposed insistent customer guidance in CP 17-28

(Published November 8, 2017) The U.K. FCA’s decision to produce guidance on insistent customers gives compliance geeks from the late 1990s nightmares. Anyone who worked on the pension review recalls the legion of cases which were supposed to have resulted from advice rejected by the customer. Adam Samuel reports.

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Managing regulatory change is no easy task

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Regulatory Change Management – Is your team ready?

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Managing the Risk of Regulatory Change White Paper

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