Compliance is a fundamental part of an RIA’s operations. It’s not something your firm can choose to do or not do as non-compliance can lead to significant financial and legal penalties. But compliance ...

* Today’s newsletter is co-authored by Brian Musthaler, a principal IT audit consultant at Essential Solutions. Thanks to companies like Enron, WorldCom and Healthsouth, all U.S. public companies live ...

Overview: Enterprises are depending on AI-powered data governance software to ensure data quality, security, and compliance ...

Quick Summary Struggling to keep up with evolving regulatory requirements as your organisation scales? This guide highlights the seven leading compliance management software platforms for modern ...

Compliance regulations are constantly changing, and organizations are struggling to keep up. The stakes are high. Failing to adhere to legal requirements can result in serious repercussions from ...

RIAs are subject to stringent compliance policies and procedures – fiduciary obligations, disclosure rules, and exams and inspections, to name a few. Often, meeting these requirements eats into the ...

Expertise from Forbes Councils members, operated under license. Opinions expressed are those of the author. Automation technology in compliance is paving the way for a transformative approach to risk.

The Department of Defense wants to bolster the number of small contractors it does business with, so it's planning to debut a series of free software tools to make it easier to work with industry. As ...

The brand-new CIO of a large financial services organization had been on the job less than a week when a major software vendor handed him a bill for unauthorized usage to the tune of $1 million. By ...

With cybersecurity threats on the rise and becoming more sophisticated by the day, SOC 2 compliance is becoming seriously non-negotiable for businesses that want to give customers and stakeholders the ...

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