The Fintech Times

FEBRUARY 5, 2025

Professionals in decision-making roles are driving their teams to enhance cybersecurity measures and reduce operational risks as AuditBoard , the cloud-based audit, risk, compliance, and ESG management platform, reveals that 91 per cent are concerned about looming cybersecurity threats.

Compliance 65

Compliance Cybersecurity Audit AI 65

PYMNTS

JUNE 14, 2017

Through a 70-question survey, TMF Group asked the accounting and tax professionals to assess their local regulatory climates. Turkey, the report found, was the most complex market for regulatory compliance, followed by Brazil, Italy, Greece and Vietnam.

Regulatory Compliance 58

Regulatory Compliance Compliance On-Demand Regulations 58

VISTA InfoSec

FEBRUARY 13, 2024

Vulnerability assessments involve scanning systems for known weaknesses, while penetration testing (or pen testing) takes a more aggressive approach by simulating cyberattacks to evaluate the effectiveness of current security measures. They provide a structured approach to evaluate and enhance the effectiveness of cybersecurity measures.

Cybersecurity 130

Cybersecurity Audit Best Practices Mitigation 130

Neopay

DECEMBER 6, 2023

The Financial Conduct Authority (FCA) employs skilled person reviews, also known as Section 166 reviews, to assess and rectify concerns within financial institutions. In this guide, we discuss the dynamics of skilled person reviews, providing insights into effectively navigating this intricate regulatory landscape.

Audit 59

Audit Regulatory Compliance Financial Crimes Compliance 59

M2P Fintech

MARCH 24, 2025

“One-click” loans become reality through instant credit assessments. Data Analytics: Making Informed Decisions Data is now the lifeblood of modern loan management, empowering lenders with insights to assess creditworthiness, predict risk, and personalize loan terms. AI is poised to revolutionize loan origination.

Payment APIs and Integration 52

Payment APIs and Integration Blockchain Regulatory Compliance Compliance 52

Stax

AUGUST 22, 2024

PayFacs handle risk assessment, underwriting, settling of funds, compliance, and chargebacks which exposes them to greater potential risks. Major risk factors for PayFacs include fraudulent transactions, merchant credit risk, regulatory compliance, and operational risks. The due diligence doesn’t stop at onboarding.

Risk Management 88

Risk Management Risk Regulatory Compliance Due Diligence 88

Fintech Review

JUNE 18, 2024

Foster a culture of compliance. Develop workflows that embed regulatory compliance into every aspect of hedge fund operations. Ensure auditability and the future success of the fund by keeping detailed records of transactions, valuations, and investor communications. Assess operational risk regularly.

Reconciliation 98

Reconciliation Compliance Regulatory Compliance Best Practices 98

Nanonets

DECEMBER 13, 2023

2: Proactive Regulatory Compliance AI plays a crucial role in ensuring regulatory compliance in insurance claims processing through the following: Automated Compliance Checks: AI algorithms can be programmed to conduct automated checks against regulatory requirements.

AI 102

AI Process Fraud Detection Compliance 102

The Payments Association

OCTOBER 11, 2024

The reforms aim to address weaknesses in safeguarding practices, reduce consumer fund risks, and enhance regulatory compliance, particularly in preventing fund shortfalls. Monthly reporting : Payment firms must submit monthly regulatory returns, allowing the FCA to monitor trends and intervene if safeguarding practices fall short.

Due Diligence 88

Due Diligence Audit Reconciliation Compliance 88

Fintech Review

FEBRUARY 11, 2025

Machine learning algorithms detect fraud, assess risks, and optimise trading strategies. Traditional models rely on limited data, whereas AI assesses alternative factors like transaction history and online behaviour. This enables more accurate risk assessments and financial inclusion. Regulatory compliance also poses challenges.

AI 66

AI FinTech Risk Assessment Assessments 66

Innovative Payments Association

AUGUST 29, 2024

Conduct a Risk Assessment Before building a compliance program, businesses should conduct a thorough risk assessment to identify potential compliance risks. This includes assessing the risk of money laundering, financial crime, and regulatory violations.

Cannabis Banking 52

Cannabis Banking Boot Camp Compliance Money Laundering 52

The Finance Weekly

JULY 19, 2022

Ensuring that the company's accounts and finances are audit-ready at closing. Specific capabilities include financial planning and analysis, integrated business planning, financial reporting, regulatory compliance reporting, and financial close management. Proactive budgeting with an expert understanding of company finances.

CRM 240

CRM Finance Database Automation 240

The Fintech Times

NOVEMBER 26, 2024

Lana Sinelnikova – business compliance and enterprise-wide risk assessment director Sinelnikova’s team provides end-to-end compliance control and advice to various business units across their products’ lifecycle and develops compliance risk programs on both global and local levels.

Compliance 65

Compliance Financial Crimes Crime Money Laundering 65

The Payments Association

MAY 16, 2025

It outlines ten regulatory changes affecting merchants in the UK and EU between 2025 and 2026. These developments will impact merchant compliance, cost structures, customer experience, and operational risk. Merchants should assess exposure, engage with providers, and begin implementation planning ahead of key deadlines.

Regulations 88

Regulations ISO 20022 Cross-Border Legal 88

Neopay

FEBRUARY 29, 2024

The focus was on assessing how additional engagement had impacted firms’ readiness for compliance. Enhanced compliance activities : Firms demonstrated increased engagement in key elements of the Duty, such as identifying target markets and appointing oversight personnel.

Consumer Protection 59

Consumer Protection Consumer Compliance Assessments 59

Neopay

AUGUST 5, 2024

They should be equipped to challenge and assess new data, policies, or frameworks for compliance. Detailed records of all safeguarding training should be maintained for audit purposes. It helps firms comply with regulatory requirements, thereby avoiding penalties and reputational damage.

Compliance 52

Compliance Procedures Audit Risk Management 52

Open Banking Excellence

SEPTEMBER 21, 2023

Cybersecurity experts Duncan McDonald, Global Head of Compliance Services & Wayne Scott, Regulatory Compliance Lead, from The NCC Group explain how to prepare for DORA compliance and why the new legislation will enhance cyber resilience across the financial sector and its supply chain.

FinTech 130

FinTech Compliance Regulations Non-Bank 130

Neopay

JUNE 27, 2024

Your senior team will all need to have understand the obligations on the firm and be able to prioritise regulatory compliance and its impact across the business. Additionally, firms should stay updated on regulatory changes and developments in the payments industry.

Financial Crimes 52

Financial Crimes Money Laundering Compliance Crime 52

FICO

JULY 31, 2019

As TPRM or third-party risk management grows in importance, so does cybersecurity risk assessment as part of it. The latest Assessment of Business Cyber Risk (ABC) report from the US Chamber of Commerce and FICO discusses four steps for improving third-party cybersecurity risk management. Infrastructure. Mitigating controls.

Risk 70

Risk Security Risk Management Risk Assessment 70

Neopay

JULY 4, 2024

Nigel Reed, COO of Neopay Ltd, has personally supported over 100 firms in gaining authorisation from the FCA and continues to provide support to them after authorisation to help them with their AML and regulatory compliance. Audits, advice and reviews from third-party specialists such as Neopay are essential now really.

AML 52

AML Due Diligence Suspicious Activity Report (SAR) Risk Assessment 52

FICO

MARCH 24, 2021

Here are some quick tips to keep you focused on your priorities: Review Risk Assessments and adjust internal controls as needed. Maintain a strong Tone at the Top (“Culture of Compliance”). Designation of qualified compliance officer along with a compliance oversight committee (or governance committee).

Money Laundering 98

Money Laundering SARS Financial Crimes Fincen 98

Neopay

MARCH 7, 2024

Risk Assessment weaknesses: Annex 1 firms have demonstrated inadequacies in conducting comprehensive Business Wide Risk Assessments and Customer Risk Assessments, leaving significant gaps in their AML frameworks. Furthermore, financial crime controls have failed to keep pace with the rapid growth of these businesses.

AML 52

AML Financial Crimes Crime Risk Assessment 52

PYMNTS

FEBRUARY 7, 2019

The burden of regulatory compliance came to a head in the U.S. “Each of these suppliers [need] to provide some number of documents to prove they are compliant, ranging from a certificate of insurance to a food safety audit to a manufacturing audit, and so on,” he said. ” The Limitations Of Tech.

Compliance 65

Compliance Due Diligence Audit Blockchain 65

FICO

MARCH 6, 2020

As a one-stop supplier for anti-financial crime, we cover all compliance-related requirements in a truly integrated solution that breaks down financial crime risk management silos. We help customers speed up time to compliance by 50%, with lower implementation and maintenance costs and fewer IT and project resources.

Financial Crimes 81

Financial Crimes Crime Compliance Technology 81

Neopay

JULY 2, 2024

Outcome metrics : The review noted a range of metrics used by firms to assess outcomes, from customer complaints and satisfaction surveys to retention rates and claims ratios. Adopt comprehensive metrics : A blend of different metrics should be used to monitor and assess consumer outcomes thoroughly. Registration is required to attend.

Consumer 52

Consumer Compliance Regulatory Compliance Assessments 52

The Fintech Times

OCTOBER 12, 2024

Your winners are… Gaialens : A Greenwashing Analytics Solution enabling investors to assess the greenwashing risk of funds and companies. ESG 360 : An AI-Driven Platform using existing ESG Reports to produce a gap analysis for regulatory compliance that provides full audit capability.

FinTech 52

FinTech Regulatory Compliance AI Professional Development 52

Fi911

NOVEMBER 7, 2023

Assessment of each customer’s risk profile. These may align with industry best practices or other regulatory frameworks. It’s paramount for such institutions to liaise with legal experts to ensure total regulatory compliance. This framework encompasses a series of regulations, policies, and procedures.

AML 52

AML Compliance Money Laundering OFAC 52

Nanonets

SEPTEMBER 18, 2024

Solutions: Choose a reputed automation tool that adheres to national and global compliance and regulatory standards such as GDPR, HIPAA, SOC2, ISO 27001, FedRAMP (in the U.S.) Financial document automation is crucial to ease employee stress, improve customer service, reduce turnaround times, and enhance regulatory compliance.

Automation 52

Automation Audit Payment APIs and Integration Compliance 52

Stax

FEBRUARY 5, 2024

Several types include credit card, fuel, service, payment processing, peak-time, environmental, regulatory, and minimum usage surcharges. Cost recovery, industry standards, regulatory compliance, and consumer sensitivity are key factors to consider when calculating surcharges. Regulatory Compliance.

Credit Cards 88

Credit Cards Legal On-Demand Regulatory Compliance 88

EBizCharge

JULY 16, 2024

This includes developing policies and tools to adequately identify, assess, and mitigate potential fraud. Financial institutions and network participants must remain vigilant in using the appropriate SEC codes to maintain compliance standards and facilitate efficient payments.

NACHA 52

NACHA Nacha Rules ACH Network ACH 52

M2P Fintech

JANUARY 28, 2025

The platform ensures seamless operations, 100% regulatory compliance, and reduced errors, helping lenders accelerate product launches, enhance operational efficiency, and scale with ease. CloudBankin CloudBankins Loan Management System offers a seamless, end-to-end solution that drives efficiency and simplifies the loan lifecycle.

Payment APIs and Integration 52

Payment APIs and Integration BNPL Regulatory Compliance Compliance 52

FloQast

MAY 13, 2024

From automated bookkeeping and bank reconciliations to AI-driven tax preparation and audit processes, these new technologies enhance efficiency and accuracy and give accountants more time to focus on higher-level, more strategic work. This technology offers an immutable ledger, reducing fraud risks and ensuring a clear audit trail.

Accounts 52

Accounts Technology Cybersecurity Audit 52

M2P Fintech

FEBRUARY 25, 2025

By leveraging Loan Management Software , lenders can streamline operations, deliver personalized services, ensure regulatory compliance, and scale effortlessly to meet the demands of a diverse and growing customer base. This proactive approach minimizes the risk of legal penalties and ensures lenders stay on top of regulatory changes.

Payment APIs and Integration 52

Payment APIs and Integration Compliance Automation BNPL 52

Seon

JUNE 29, 2023

Part of staying compliant with KYT – and thus avoiding fines – involves assessing how effectively your organization has implemented the process. KYT is a regulatory compliance requirement. It achieves this through transaction and behavior monitoring, risk assessment, and alert generation.

Transactions 52

Transactions Due Diligence Money Laundering AML 52

CB Insights

JANUARY 4, 2018

AI’s influence in accounting and audition, which, similar to the legal sector, are traditionally considered very manual and slow to digitization. According to a study published by the World Economic Forum , 75% of the 300 corporate executives surveyed predict AI will perform 30% of corporate audits by 2025. COMPLIANCE OFFICERS.

Automation 75

Automation AI Audit Consulting 75

Nanonets

JULY 11, 2023

In today's business landscape, organizations face a myriad of challenges related to financial integrity, regulatory compliance, and operational efficiency. Effective purchases controls ensure compliance with regulations, mitigate risks and promote operational efficiency.

Procedures 40

Procedures Audit Mitigation Assessments 40

FloQast

MARCH 12, 2024

Critical Factors to Evaluate Prior to Taking Your Company Public Before embarking on the IPO journey, assessing whether your company is ready for the public spotlight is crucial. We hope to transform what might seem like a daunting process into a series of achievable milestones.

Advisors 52

Advisors Due Diligence Audit Legal 52