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Photographer: Shawn Baldwin.  Bloomberg News.

Setting your compliance team up for success in 2017

Despite the many discussions happening around what firms need to do to comply with these regulations, especially over the last year, many still face major obstacles in meeting their requirements.

How to manage a trade reconstruction project

With the explosion of electronic data, trade reconstruction has now become a potentially massive endeavor for financial firms, requiring participation from numerous parts of the organization including compliance, operations, trading, technology, and even the executive suite.

Catching up on MAR compliance

Although the deadline for Market Abuse Regulation (MAR) compliance has already passed, many firms are still unsure of how to move forward.

Industry Alert: Yahoo Messenger shutdown illustrates a key challenge of compliance

Yahoo’s recent announcement that it is shutting down its legacy Messenger client and moving to a browser-based application has thrown a wrench into the increasingly complex world of social media compliance.

The three ways a strong trade surveillance program can benefit sell-side firms

Trade archiving requirements dictate the need for effective record-keeping across all your trading platforms. But what you are able to get out of your compliance system doesn’t have to be limited to data for your compliance function.

Preventing market abuse with emotional analytics

A deeper understanding of communication subtleties can help compliance officers more accurately predict future behavior and guard against market abuse.

Market Abuse Regulation (MAR): What you need to know

A significant piece of regulation looms on the horizon. Unlike MiFID II, MAR will come into effect very soon and firms need to be prepared to meet its requirements.

New regulatory environment demands CCOs become ‘compliance technologists’

There is an increased need for chief compliance officers to take on the role of ‘compliance technologists,’ interpreting regulations in real time to ensure the effectiveness of technology systems and processes.

Implementing better compliance programs

Financial service firms are looking for ways to measure returns to make sure that compliance efforts are meeting regulatory requirements and enhancing business functions.

Best practices for compliance officers

As the nature and work of compliance changes, many firms are working to identify and implement best practices, particularly around efficiently and ethically fulfilling regulations.