Funds-Axis Ltd

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Research related to Regulatory Reporting Solutions

  • 7 June 2020

    Improving data management is a journey; in recent years many FIs have been ushering in changes to break down data silos and simplify data archit…

  • 24 March 2020

    In my previous post, I proposed a new, virtual model for regulatory reviews, one that leverages the enterprise-wide lens furnished by modern com…

  • 22 March 2020

    So-called collaboration tools like Zoom and Slack were on the radar of SEC and other regulators well before COVID-19. In fact, FINRA made explic…

  • 9 January 2020

    EVOLUTION AND REVOLUTION IN RISK AND COMPLIANCE Risk and compliance in the financial industry is at a watershed moment. While continuing to be h…

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    The General Data Protection Regulation (GDPR) is a piece of European Union legislation that regulates how personal data is collected, bought, so…

Research related to Investment Compliance Solutions