This year’s Global Compliance Survey (GCS) results include responses from 150+ experienced personnel serving directly in financial services compliance roles. Analyzed in aggregate, these results provide a statistical assessment of…
Chile’s Depósito Central de Valores S.A. (DVC) recently announced the go-live of its new central securities depository (CSD) technology platform delivered by Nasdaq, which will let DCV advance its strategic…
Anti-financial crime (AFC) operations have been rapidly evolving over the past several years as regulatory pressures and competitive forces drive banks to invest in more effective and efficient systems. As…
In the latest iteration of Nasdaq’s annual Global Compliance Survey (GCS), feedback was gathered from financial industry compliance professionals to shed light on new and longstanding challenges encountered in surveillance…
We’re all aware of the prosecutions that regulators take against participants for trading in breach of market abuse regulations – these actions have high visibility and are well understood as…