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Best Practices for Integrating Technology into Your Compliance Program In today’s regulatory environment, financial firms can’t afford to treat compliance technology as an afterthought. Whether you’re introducing new surveillance tools, onboarding a GRC platform, or upgrading legacy systems, how you integrate that technology into your compliance program determines its effectiveness. The benefits of technology—automation, efficiency, […]
The Role of Vendor Management in Financial Technology Solutions In today’s financial services environment, firms are increasingly reliant on third-party vendors to provide the technology that powers daily operations—from portfolio management to trade surveillance to regulatory compliance. But with that reliance comes risk. Without a thoughtful vendor management strategy, fintech partnerships can quickly become compliance […]
How to Assess Your Firm’s Tech Stack: A Compliance Guide In today’s regulatory environment, having the right people is only part of the equation—having the right technology is just as critical. For RIAs and broker-dealers, a well-integrated, compliant, and scalable tech stack is no longer optional. It’s the foundation for meeting regulatory requirements, managing operational […]
