As Internal Fraud Grows, Banks Need More, Not Less, Regulation
Banks are not fans of heavy regulation. Few companies or individuals are. Paying attention to rules takes time, effort, and money. Although sometimes unnecessary and overzealous, quite often ...
February Global Regulatory Brief: Risk, capital and financial stability
Recent periods of financial stress and the proliferation of risks across the financial system are fueling the development of ...
JD Supra10d
Client Alert: Navigating FINRA’s 2025 Third-Party Risk Updates: Compliance Strategies for Financial Institutions
Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide ...
Monitordaily2d
ServisFirst Bank Hires Sparacio as New Chief Financial Officer
ServisFirst Bank, a subsidiary of ServisFirst Bancshares, hired David Sparacio as chief financial officer. Sparacio will ...
IT-Online10d
Regulatory Reporting Analyst
and international regulatory authorities (e.g. PRA, FCA, SEC, EBA). Ensure compliance with all relevant regulations and deadlines for financial reporting. Manage quarterly and annual filings with ...
JD Supra9d
FINRA’s 2025 Annual Regulatory Oversight Report: Playing the Hits, With Some Important Additions
Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such as financial crimes prevention, ...