Regulatory compliance

Practifi Launches New Compliance Role-Based App To Platform, Enabling Firms To Proactively Mitigate Risk

Retrieved on:

Thursday, July 29, 2021

The new compliance app offers compliance teams the ability to proactively identify and mitigate risk within a unified platform.

Key Points:

The new compliance app offers compliance teams the ability to proactively identify and mitigate risk within a unified platform.
Instead of waiting to uncover issues and violations, compliance teams can use the customized app to manage, monitor and track compliance obligations quickly and efficiently.
With the new compliance app, our platform not only gives compliance teams and wealth managers greater peace of mind, but also advances our vision of providing unified technology for financial firms."
Complementing existing advisory, client service, marketing, and management apps, the new compliance app solidifies Practifi as the unified platform for high-performing advisory firms.

Varonis Achieves ISO 27701 Data Privacy Certification

Retrieved on:

Wednesday, July 28, 2021

Data security, Computing, Data management, Data protection, Information technology management, ISO/IEC 27701, Varonis Systems, General Data Protection Regulation, California Consumer Privacy Act, Information privacy, Regulatory compliance, Data governance

NEW YORK, July 28, 2021 (GLOBE NEWSWIRE) -- Varonis Systems, Inc. (Nasdaq: VRNS), a pioneer in data security and analytics, announced it successfully achieved ISO/IEC 27701:2019 ("ISO 27701") certification after an independent third-party audit.

Key Points:

NEW YORK, July 28, 2021 (GLOBE NEWSWIRE) -- Varonis Systems, Inc. (Nasdaq: VRNS), a pioneer in data security and analytics, announced it successfully achieved ISO/IEC 27701:2019 ("ISO 27701") certification after an independent third-party audit.
The accreditation demonstrates Varonis' alignment with global privacy standards, including the EU's General Data Protection Regulation (GDPR), the California Consumer Privacy Act (CCPA),andNew York's Stop Hacks and Improve Electronic Data Security (SHIELD) Act.
"Achieving compliance with ISO 27701 continues our commitment to supporting data privacy best practices," says Varonis CISO Guy Shamilov.
Varonis products address additional important use cases including data protection, data governance, zero trust, compliance, data privacy, classification and threat detection and response.

Boards Who Engage on Topics of Ethics and Compliance See Better Business Outcomes Says Annual LRN Report

Retrieved on:

Wednesday, July 28, 2021

Articles, LRN, Ethics, Regulatory compliance, Applied ethics

The report, titled "The 2021 Ethics & Compliance Program Effectiveness Report Leading the Way: How Boards of Directors Can Engage in Ethics and Compliance," examines board engagement on topics of ethics and compliance programs during a year when the COVID-19 pandemic affected workforce behavior around the world.

Key Points:

The report, titled "The 2021 Ethics & Compliance Program Effectiveness Report Leading the Way: How Boards of Directors Can Engage in Ethics and Compliance," examines board engagement on topics of ethics and compliance programs during a year when the COVID-19 pandemic affected workforce behavior around the world.
LRN, the leader in ethics and compliance solutions serving 700 major corporations globally, publishes the Ethics and Compliance Program Effectiveness Report annually.
"The 2021 Ethics & Compliance Program Effectiveness Report - Leading the Way: How Boards of Directors Can Engage in Ethics and Compliance" survey was conducted during the second half of 2020 and analyzed during early spring 2021.
For additional information on LRN, visit www.LRN.com
For more insights from LRN on ethics, compliance, corporate culture and reputation, subscribe to the newsletter .

Fortreum Achieves FedRAMP & StateRAMP 3PAO Status

Retrieved on:

Wednesday, July 28, 2021

Cloud computing, FedRAMP, Internet security, United States Office of Management and Budget, Computing, Technology

ASHBURN, Va., July 28, 2021 /PRNewswire/ -- Fortreum , LLC announced today that it has achieved the Third Party Assessment Organization (3PAO) accreditation status for providing Federal Risk and Authorization Management Program (FedRAMP) services.

Key Points:

ASHBURN, Va., July 28, 2021 /PRNewswire/ -- Fortreum , LLC announced today that it has achieved the Third Party Assessment Organization (3PAO) accreditation status for providing Federal Risk and Authorization Management Program (FedRAMP) services.
Under the FedRAMP accreditation model, 3PAOs are required to be accredited by the American Association for Laboratory Accreditation (A2LA) to be recognized by the FedRAMP Project Management Office (PMO).
To achieve the 3PAO status, Fortreum underwent an assessment conducted by A2LA, the FedRAMP 3PAO accreditation body, to verify the company's competence according to FedRAMP requirements and compliance with the ISO/IEC 17020:2012 international standard.
Obtaining the FedRAMP 3PAO accreditation means Fortreum will be able to independently validate the cloud security architecture and overall organizational maturity required for Cloud Service Providers (CSP's) looking to obtain a FedRAMP authorization.

OTC Markets Group Welcomes Blackbird plc to OTCQX

Retrieved on:

Wednesday, July 28, 2021

OTC Markets Group, Blackbird, Computing, Software, Technology

NEW YORK, July 28, 2021 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 11,000 U.S. and global securities, today announced Blackbird plc (LSE: BIRD; OTCQX: BBRDF), which operates in the fast-growing SaaS and cloud video market, has qualified to trade on the OTCQX Best Market.

Key Points:

NEW YORK, July 28, 2021 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 11,000 U.S. and global securities, today announced Blackbird plc (LSE: BIRD; OTCQX: BBRDF), which operates in the fast-growing SaaS and cloud video market, has qualified to trade on the OTCQX Best Market.
Blackbird plc upgraded to OTCQX from the Pink market.
Blackbird plc begins trading today on OTCQX under the symbol "BBRDF."
Ian McDonough, Chief Executive of Blackbird plc, said: "We are thrilled to begin trading on the OTCQX Best Market.

Clincierge Names Joy Arnold, J.D., Chief Compliance Officer

Retrieved on:

Tuesday, July 27, 2021

Articles, Health sciences, Health, Clinical pharmacology, Digital rights, Human rights, Identity management, Privacy law, Privacy Office of the U.S. Department of Homeland Security, Chief privacy officer, Regulatory compliance, Privacy

PHILADELPHIA, July 27, 2021 /PRNewswire/ -- Clincierge , the leader in patient support services and logistics management for clinical trials, has announced the appointment ofJoy Arnold, J.D., to the role of chief compliance officer.

Key Points:

PHILADELPHIA, July 27, 2021 /PRNewswire/ -- Clincierge , the leader in patient support services and logistics management for clinical trials, has announced the appointment ofJoy Arnold, J.D., to the role of chief compliance officer.
She will also serve as lead privacy officer, providing expert guidance on best practices related to data privacy and the protection of personally identifiable information.
Arnold joins Clincierge from T. Global Partners, Inc., where she was responsible for global compliance, contracting, and sourcing.
"The role of chief compliance officer represents a meaningful opportunity to apply my skills and expertise to an inspiring mission," Arnold said.

Cipperman Compliance Services Announces Addition of Two Senior Professionals

Retrieved on:

Tuesday, July 27, 2021

Finance, Money, Financial markets, Economy, Brokerage firms, Chief compliance officer, Corporate governance, Regulatory compliance, Broker-dealer, Financial technology

WAYNE, Pa., July 27, 2021 /PRNewswire/ -- Cipperman Compliance Services (CCS), the leading independent provider of chief compliance officer (CCO) services to money managers, broker-dealers, registered funds, family offices, private equity firms, and regulated fintech companies, today announced the addition of two senior compliance professionals to the firm's staff.

Key Points:

WAYNE, Pa., July 27, 2021 /PRNewswire/ -- Cipperman Compliance Services (CCS), the leading independent provider of chief compliance officer (CCO) services to money managers, broker-dealers, registered funds, family offices, private equity firms, and regulated fintech companies, today announced the addition of two senior compliance professionals to the firm's staff.
CCS continues to add senior professionals to meet the demand for its industry-leading CCO outsourcing service.
Frank Ingraham has nearly 20 years of experience providing broker-dealer compliance services.
Cipperman Compliance Services is the leading independent provider of chief compliance officer services to money managers, broker-dealers, registered funds, family offices, private equity firms, and regulated fintech companies.

Kharon And BAE Systems Partner To Offer Financial Institutions Superior Intelligence To Fight Financial Crime

Retrieved on:

Tuesday, July 27, 2021

Articles, Companies of the United Kingdom, Companies, BAE Systems, Regulatory compliance, British Aerospace, Analytics

Victoria Lumb, Head of Sales at Kharon, said: "Our partnership with BAE Systems reflects our joint ambition to strengthen financial crimes compliance within financial institutions.

Key Points:

Victoria Lumb, Head of Sales at Kharon, said: "Our partnership with BAE Systems reflects our joint ambition to strengthen financial crimes compliance within financial institutions.
Kharon is a leading provider of research and data analytics covering global security threats that impact commerce and finance.
Kharon empowers organizations and practitioners that tackle complex risk management for financial crimes, sanctions, and export controls, as well as business and reputational risk.
For more information regarding our compliance, fraud detection and prevention solutions, visit https://www.baesystems.com/en-financialservices/home
View original content to download multimedia: https://www.prnewswire.com/news-releases/kharon-and-bae-systems-partner-...

Kharon And BAE Systems Partner To Offer Financial Institutions Superior Intelligence To Fight Financial Crime

Retrieved on:

Tuesday, July 27, 2021

Companies, Economy of the United Kingdom, Financial risk, BAE Systems Applied Intelligence, Military intelligence, BAE Systems, British Aerospace, Risk, Regulatory compliance

Victoria Lumb, Head of Sales at Kharon, said: "Our partnership with BAE Systems reflects our joint ambition to strengthen financial crimes compliance within financial institutions.

Key Points:

Victoria Lumb, Head of Sales at Kharon, said: "Our partnership with BAE Systems reflects our joint ambition to strengthen financial crimes compliance within financial institutions.
Peter Fisher, Director of Product, BAE Systems Applied Intelligence, said: "Increasingly challenging regulations in the U.S., U.K., and elsewhere require robust and effective industry responses that go beyond screening of government lists.
Kharon is a leading provider of research and data analytics covering global security threats that impact commerce and finance.
Kharon empowers organizations and practitioners that tackle complex risk management for financial crimes, sanctions, and export controls, as well as business and reputational risk.

SEC Issues Substituted Compliance Determination for France

Retrieved on:

Monday, July 26, 2021

Regulatory compliance, Securities Exchange Act, U.S. Securities and Exchange Commission, Federal government of the United States

The Commission is issuing the substituted compliance determination order addressing the availability of substituted compliance for certain non-U.S. security-based swap dealers and major security-based swap participants, in anticipation of those firms'registration with the Commission this fall.

Key Points:

The Commission is issuing the substituted compliance determination order addressing the availability of substituted compliance for certain non-U.S. security-based swap dealers and major security-based swap participants, in anticipation of those firms'registration with the Commission this fall.
Rule 3a71-6 further conditions substituted compliance on the Commission and the foreign financial regulatory authority entering into a supervisory and enforcement memorandum of understanding and/or other arrangement addressing supervisory and enforcement cooperation and other matters related to substituted compliance.
Internal supervision and compliance requirements related to supervision, conflicts of interest and chief compliance officers, and certain related matters.
Record Preservation Firms would need to: (a) apply substituted compliance to a linked substantive Exchange Act requirement, when a record preservation requirement is linked to that substantive Exchange Act requirement for which a positive substituted compliance determination is being made (and conversely, apply substituted compliance to a substantive Exchange Act requirement linked to a record preservation requirement); and (b) apply substituted compliance to Exchange Act rule 18a-1 with respect to certain records that are important for the Commission to examine for compliance with Exchange Act rule 18a-1.