PYMNTS

FEBRUARY 7, 2019

The burden of regulatory compliance came to a head in the U.S. Randy Fields, chairman and CEO of ReposiTrak parent company Park City Group , said this legislation exemplifies the difficulties of supply chain compliance in the food sector, and demonstrates the limitations of technology in automating compliance and due diligence.

Compliance 65

Compliance Due Diligence Blockchain Audit 65

Neopay

DECEMBER 6, 2023

Skilled person reviews are an integral component of the FCA’s regulatory toolkit, initiated to obtain an independent and expert assessment of a firm’s activities. These reviews play a crucial role in identifying potential risks, ensuring regulatory compliance, and safeguarding the integrity of financial markets.

Audit 59

Audit Regulatory Compliance Financial Crimes Compliance 59

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

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

Neopay

MARCH 7, 2024

Due diligence and monitoring: Policies lack specificity, leading to ambiguity in the actions required for compliance with MLRs, particularly concerning due diligence, ongoing monitoring, and the establishment of effective procedures.

AML 52

AML Financial Crimes Risk Assessment Due Diligence 52

Seon

JUNE 29, 2023

KYT is a regulatory compliance requirement. As such, it is part of an organization’s due diligence. Transactions that can be linked to terrorist financing can be elevated from conventional AML due diligence to advanced AML due diligence.

Transactions 52

Transactions Due Diligence Money Laundering AML 52

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

Nanonets

APRIL 29, 2024

Regulatory Compliance : Compliance with regulatory standards such as GAAP (Generally Accepted Accounting Principles) and IFRS (International Financial Reporting Standards) is non-negotiable for businesses. Accuracy and Data Integrity : Accuracy is paramount in balance sheet reconciliation.

Reconciliation 52

Reconciliation Payment APIs and Integration Audit Regulatory Compliance 52

Fintech Labs Insights

MARCH 24, 2016

You say you wanna revolution in due diligence, but would love to see the plan? OutsideIQ has leveraged its strengths in cognitive computing and natural language processing to deliver an automated due diligence solution, DDIQ. ” Company Facts: Founded in January 2010. Headquartered in Toronto, Ontario, Canada.

Due Diligence 14

Due Diligence Audit Regulatory Compliance Assessments 14

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 Risk Assessment 52

FloQast

MARCH 12, 2024

Curate Your IPO A-Team: Banking, Law, Auditing, Investor Relations, and Advisory Experts Selecting the right external advisors, including bankers, legal counsel, and other professionals, is crucial. These partners will guide you through the regulatory landscape, financial structuring, and effective communication with potential investors.

Advisors 52

Advisors Due Diligence Audit Legal 52

FloQast

APRIL 12, 2024

Remember, the goal of the S-1 filing is not just regulatory compliance but to lay a foundation of transparency and trust with your future investors. Information with respect to the registrant. This section is the meatiest part of the prospectus.

Underwriting 52

Underwriting Indemnification Due Diligence Legal 52

M2P Fintech

JANUARY 4, 2024

Streamline the onboarding process by integrating product details and conducting due diligence concurrently. Ensure Secure Co-branded Operations Construct a secure and controlled platform for fintech operation by streamlining program operations, regulatory compliance, infrastructure, accounting, and KYC.

Credit Cards 59

Credit Cards Due Diligence FinTech Compliance 59

Nanonets

APRIL 30, 2024

Due Diligence: Automating the extraction of data from corporate documents, regulatory filings, and financial statements to conduct due diligence during mergers, acquisitions, or investment transactions.

AI 52

AI Due Diligence Automation Use Case 52

Fintech Labs Insights

FEBRUARY 21, 2017

In addition to the funding, Mundi will provide due diligence support and will offer Qumram access to corporate executives, new markets, and new customers via the Mundi Club, a global network of 500+ Spanish business leaders. The movie-like playback gives banks an auditable record for compliance purposes.

Due Diligence 15

Due Diligence Fraud Detection Regulatory Compliance Compliance 15

Nanonets

SEPTEMBER 22, 2023

Another method is to conduct site visits or audits of potential vendors' facilities. This allows businesses to assess firsthand the vendor's operational capabilities, quality control processes, and compliance with industry standards. It covers ethical considerations, study design, data management, and regulatory compliance.

Risk Mitigation 40

Risk Mitigation Mitigation Risk Assessment Assessments 40

VISTA InfoSec

MAY 6, 2025

SOC 2 certification is an audit framework developed by the AICPA that evaluates an organizations ability to design and operate effective controls related to security, availability, processing integrity, confidentiality, and privacy. Vendors are required to complete a SOC 2 Audit to prove they are safe to work with.

Audit 200

Audit Regulatory Compliance Data Breach ISOs 200

FloQast

MARCH 10, 2025

Application of appropriate pre-IPO due diligence, including satisfactory underwriting of the IPO process. Compliance with jurisdictional financial reporting and disclosure requirements. Satisfactory financial projections, and a history of growth sufficient to attract public interest and investment. What is the purpose of an IPO?

Underwriting 95

Underwriting Due Diligence Audit Process 95

Neopay

JANUARY 27, 2025

Implications for businesses in the financial sector For businesses operating in the e-money and payments industries, the case serves as a stark reminder of the importance of compliance and due diligence. Compliance frameworks: Ensuring robust policies and procedures are in place to detect and prevent financial crime.

Compliance 52

Compliance Due Diligence Security Financial Crimes 52

The Fintech Times

APRIL 1, 2025

As organisations face mounting security vulnerabilities and compliance challenges, Zip for Risk Orchestration enables global enterprises to streamline supplier risk assessments, financial verification, and regulatory compliance, enabling businesses to mitigate risks related to fraud, security breaches, and costly enforcement actions.

Mitigation 59

Mitigation Risk Verification Risk Management 59