Future CFO

SEPTEMBER 16, 2022

Thailand is following other markets in Asia that have seen governments finally come to terms with the importance and necessity of formalising data privacy protection and regulation. What are the role of Chief Financial Officers (CFO) and senior finance leaders when it comes to data privacy and compliance?

Compliance 98

Compliance CFO Leadership Leverage 98

Nerd's Eye View

DECEMBER 7, 2022

For investment advisers looking to attract prospective clients, advertising the performance of their investment strategies would be a logical way to market their services (at least if they had strong historical returns!).

Advertising 87

Advertising Investments Marketing Securities 87

Future CFO

OCTOBER 18, 2023

They are tasked with ensuring financial stability and compliance, but their ability to succeed in that respect depends largely on collaboration with CTOs, CIOs and other tech leaders. With these tech investments , it is vital for financial leaders to take a macro-level view of their decisions.

Investments 64

Investments Benchmarking Economics Compliance 64

PYMNTS

OCTOBER 9, 2020

Venture capital funding landed at supplier payment and compliance automation firms this week, among other B2B innovators that raised money. The big B2B investment of the week was Tipalti , which landed $150 million in new funding on a $2 billion valuation. Strike Graph , a compliance automation firm, has launched with a $3.9

Compliance 107

Compliance Auditing Accounts Payable Valuation 107

CFO News Room

FEBRUARY 3, 2022

WASHINGTON—The Biden administration is moving to revise federal rules to address potential security risks from TikTok and other foreign-owned apps, eight months after opting not to pursue a forced shutdown of the Chinese-owned video-sharing platform. national security and Americans’—especially children’s—personal privacy,” Mr. Rubio said.

Securities 130

Securities Auditing Technology Compliance 130

Nerd's Eye View

FEBRUARY 1, 2023

In recent years, though, the growing use of lead-generation services, advisor networks, and ‘advisor-matching’ tools, referred to as “operators” in the Marketing Rule’s Adopting Release, has given rise to third-party solicitation activity that often looks more like advertising directly to prospective clients.

Marketing 73

Marketing Advertising Compliance Investments 73

Nerd's Eye View

NOVEMBER 2, 2022

In the United States, Registered Investment Advisers (RIAs) are required to register in one of 2 ways: with the Federal government (namely the SEC) or with one (or more) state securities regulatory agencies.

Compliance 52

Compliance Investments Securities Planning 52

E78 Partners

FEBRUARY 14, 2024

CEOs of middle-market private equity sponsored companies face unique challenges when it comes to delivering growth, profitability, and cash flow while managing operations with limited resources. Talent acquisition and retention: Attracting and retaining top talent is a critical issue for middle-market private equity-backed businesses.

Financial Planning and Analysis (FP&A) 52

Financial Planning and Analysis (FP&A) Marketing Compliance Communication 52

PYMNTS

NOVEMBER 26, 2019

In recent years, the market has gone from one struggling with high financial illiteracy and limited card acceptance, to a bright spot in Europe for FinTech innovation. But financial regulatory compliance can be a headache for any market. Lithuania wants to become a global FinTech powerhouse. An Opportunity for Collaboration.

Compliance 73

Compliance Concentration Restructuring Banking 73

PYMNTS

AUGUST 11, 2020

But more recently, the pandemic has spurred firms to address pain points in various markets through digital shifts. One firm, tZERO Group , is betting that blockchain can help disrupt capital markets themselves. The private markets are relatively opaque, and relatively less liquid than might be seen on public exchanges.

Marketing 125

Marketing Compliance Investments Education 125

PYMNTS

DECEMBER 16, 2019

one of the largest FinTech hubs of the world today, initiatives like Open Banking demonstrate the opportunity for regulatory mandates to encourage innovation and competition — even in markets where such regulatory mandates don’t exist. Mixing Innovation With Compliance. With the U.K. Achieving A Better User Experience. he told PYMNTS.

Compliance 81

Compliance B2B B2C Prioritization 81

E78 Partners

MAY 3, 2023

Leveraging E78’s Comprehensive Due Diligence Process Due diligence is a critical aspect of private equity investments, as it allows investors to thoroughly evaluate potential opportunities and mitigate the risks associated with their investments.

Investments 52

Investments Leverage Technology Compliance 52

Nerd's Eye View

FEBRUARY 14, 2024

However, by the 1970s, the "investment counsel" term had largely fallen out of use in favor of the more generic (and less regulated) "financial advisor", which grew in popularity as insurance and mutual fund salespeople began to co-opt the title and position themselves as "advisors" while still being both compensated and regulated as salespeople.

Securities 49

Securities Sales Investments Advertising 49

PYMNTS

JANUARY 24, 2019

With third-party due diligence and supply chain security as increasingly critical components of organizations’ procurement operations, compliance executives are finding important positions in their firms’ purchasing processes. ” Organizations must do more with less, and they must do it quickly, he continued.

Compliance 76

Compliance Risk Management Manufacturing Technology 76

PYMNTS

JULY 5, 2018

Partnerships end up a win-win: Banks remain competitive with leading-edge services while FinTech companies score market reach and the solid reputations of their bank partners. Maintaining compliance and security , though, must be at the top of the priority list, according to Stemmle and Kull.

Compliance 43

Compliance Banking Marketing Securities 43

CFO Plans

MAY 16, 2024

This capability provides CFOs with up-to-the-minute insights into their company’s financial health, fostering more informed decision-making and quicker responses to market changes. Learn About Integration Benefits Security and Compliance in SaaS Accounting Solutions Security is a paramount concern for any financial manager.

Accounting 52

Accounting Compliance Manufacturing CFO 52

CFO News Room

DECEMBER 16, 2022

Job security is always a concern when choosing a career, but some fields are more recession-proof than others. After all, people will always need financial services, whether investing their money , taking out loans, or managing their taxes. Chief Compliance Officer. One industry that tends to be recession-resistant is finance.

Finance 130

Finance Budgeting Compliance Financial Analyst 130

PYMNTS

JUNE 23, 2016

Santander InnoVentures , a FinTech venture capital fund, announced on Wednesday (June 22) that it is making a strategic investment in identity verification platform Socure. But it can also be utilized in applications across fraud prevention and compliance to help businesses adhere to anti-money laundering (AML) regulations.

Investments 42

Investments Securities Compliance Financial Systems 42

PYMNTS

JANUARY 30, 2019

The global economy offers a wide range of opportunities for businesses to expand their reach, and promote their brands to new markets. In addition, how can they remain confident that they are in compliance with existing AML laws? Companies in several global markets have launched a series of tools to bolster AML and KYC efforts.

Investments 68

Investments Compliance Startups Banking 68

CFO News Room

JANUARY 13, 2023

Also in industry news this week: A study suggests that simplification is the top reason consumers combine their investment accounts, signaling that the onboarding process for new advisory client assets is a value-add in itself.

Treasury 130

Treasury Compliance Investments Accounting 130

CFO News Room

NOVEMBER 5, 2022

Morningstar has joined an increasingly competitive market of direct indexing platforms for advisors and their clients. From there, we have several articles on investment planning: While I Bonds have received significant attention during the past year, TIPS could be an attractive alternative for many client situations. Team Kitces.

Mergers and Acquisitions (M&A) 130

Mergers and Acquisitions (M&A) Profit and Loss Investments Valuation 130

Nerd's Eye View

FEBRUARY 2, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that a Morningstar survey has found that financial advisory clients are more likely to stick with their advisor for emotional reasons rather than investment returns alone.

Practice Management 90

Practice Management Education Compliance Investments 90

PYMNTS

MARCH 27, 2019

While regulators had transparency and financial security in mind when introducing more stringent requirements for banks following the global financial crisis, financial institutions faced a sudden surge in the burden compliance. The Key To Compliance Is Data.

Compliance 46

Compliance Banking Analyzing Data Prioritization 46

Corporate Finance Lab

NOVEMBER 26, 2021

The next EU Financial Law clinic at KU Leuven will focus on insurance-based investment products within the framework of European financial regulation. This clinic will critically assess EU financial regulation on insurance-based investment products. As usual, there will be ample room for questions and discussion.

Investments 54

Investments Compliance Accounting Planning 54

PYMNTS

JANUARY 29, 2019

Much of that spend (nearly one-third, by Gartner accounts), will go toward investment in consulting and implementation services as companies seek guidance for changing cybersecurity regulations like GDPR in Europe. Less than half of IT professionals in the U.S.

Investments 59

Investments Compliance Education Benchmarking 59

Nerd's Eye View

NOVEMBER 6, 2023

And be certain to read to the end, where we have provided an update to our popular "Financial AdvisorTech Solutions Map" (and also added the changes to our AdvisorTech Directory) as well!

Valuation 91

Valuation Compliance Practice Management Technology 91

Barry Ritholtz

APRIL 22, 2023

 This week, we speak with Brian Hamburger , founder and chief executive officer of the business / regulatory compliance consultancy MarketCounsel , as well as the founder and chief counsel of the Hamburger Law Firm, a boutique law firm that focuses on investment and securities industry matters.

Compliance 116

Compliance Investments Securities Marketing 116

PYMNTS

APRIL 19, 2019

The big news in B2B FinTech investment this week came from Airbnb , which is bolstering its presence in the business travel market with new funding, while corporate card startup Brex also secured a prominent debt capital investment.

B2B 69

B2B Investments Accounts Payable Benchmarking 69

PYMNTS

JULY 11, 2019

Identity verification solutions provider GIACT Systems has announced the launch of gOFAC Monitoring, a new Office of Foreign Assets Control (OFAC) compliance solution to eliminate false positives and boost compliance processing. Our mission is to protect businesses and consumers at every touchpoint, which requires comprehensive data.

Compliance 51

Compliance Investments Technology Marketing 51

PYMNTS

SEPTEMBER 11, 2019

AML and KYC investments are growing in importance when it comes time to do battle against external (and internal) threats. million: Average annual AML compliance spending for Canadian firms with less than $10 billion USD in total assets. percent: Projected CAGR of the global AML software market as measured from 2019 to 2026.

Securities 76

Securities Compliance Numbers Banking 76

Future CFO

FEBRUARY 22, 2024

The pressure on finance leaders to deliver strategic insights and ensure compliance is mounting in this dynamic environment. In an increasingly global market and increasing digitisation of the world, it is essential to a company’s ability to organise, match and report on performance across a company,” Chee adds.

Financial Planning and Analysis (FP&A) 97

Financial Planning and Analysis (FP&A) Finance Compliance SAP 97

PYMNTS

OCTOBER 29, 2018

These initiatives could also lead to an increase in security risks, since sharing data among a range of financial service providers creates new opportunities for it to fall into the wrong hands. Banks, FinTech firms and other financial services firms would be wise to invest more time, effort and resources into open banking security systems.

Securities 76

Securities Banking Compliance Accounting 76

CFO News Room

JANUARY 8, 2023

By fall of 2022, NFT markets were down 90% , we’d entered a cold crypto winter, and a bustling metaverse was still more of a dream than reality. Leaders will have to search for ways to do more with less, find value where innovations overlap, and strategically invest in technologies that are hitting a tipping point.

Budgeting 130

Budgeting Securities Economics Technology 130

CFO News

JUNE 6, 2023

The Securities and Exchange Board of India (SEBI) has proposed a new rule to track the source of foreign money for high-risk investors in an effort to root out questionable foreign investment in India’s publicly traded companies. If passed, the new rule would require any investor with more than INR 250 billion ($3.3

Concentration 52

Concentration Compliance Investments Securities 52

PYMNTS

APRIL 18, 2017

Banks and financial institutions spend billions of dollars to ensure they are meeting compliance requirements and properly managing risks. But is all the money being invested really getting the job done? Instead, the company’s modular compliance platform marries technology and strong data to help companies manage their risk better.

Compliance 44

Compliance Startups Technology Marketing 44

The Finance Weekly

MARCH 16, 2023

The quick and unexpected collapse of the second and third largest bank collapses in US history sent shock waves throughout the markets. Since SVB catered mostly to tech companies, business was booming in the past few years thanks to the influx of investments in the tech industry. Securities portfolios ballooned to $6.26

Leadership 105

Leadership CFO Startups Compliance 105

E78 Partners

MAY 8, 2024

Organizations of different scales that have invested in ServiceNow want to use their ITSM platform to handle TEM and increase operational effectiveness. It provides dashboards and reports for tracking SLA compliance and performance metrics.

Leverage 52

Leverage Auditing Compliance Invoicing 52