The Compliance Team

FinTech Venture Studio, Surge Ventures Launches Its Inaugural Company, RegVerse and Unveils an Industry First Generative AI-Powered Regulatory Management Platform

Retrieved on: 
Thursday, October 12, 2023
Investment, Broadcom Inc., CCO, Fintech, Collaboration, Intelligence, For, Registered investment adviser, Broker-dealer, Automation, Regulatory technology, AI, Hedge fund, Risk, Communication, Financial services, NSA, Opportunity, Impact, The Compliance Team, LPL Financial, RIAS, Lung compliance, Deposit Insurance Agency of Russia, Marketing, Generative, Synthetic media, Regulation, FINRA, History, Law Enforcement Action Partnership, PARK, BDS, Integrity Management Plan, Advisor Group, Bank, Face, Financial adviser, Medical device, Tourism, Smarsh, Silicon

MENLO PARK, Calif., Oct. 12, 2023 /PRNewswire/ -- Surge Ventures, a FinTech Venture Studio, proudly announces the launch of its inaugural venture, RegVerse which focuses on advancing Regulatory Technology (RegTech). Under the visionary leadership of seasoned WealthTech and RegTech entrepreneur, Sid Yenamandra, RegVerse introduces its flagship product, Avery, which is poised to reshape regulatory change management and tracking of firm-wide compliance protocols for Registered Investment Advisors (RIAs), Hedge Funds, Mutual Funds, Insurance Agencies, Banks and Broker-Dealers (BDs).

Key Points: 
  • In a world where regulatory complexities can be overwhelming, Avery by RegVerse offers a game-changing solution.
  • Its mission is to minimize regulatory risks while saving valuable time and resources for financial advisors and firms.
  • Mr. Yenamandra, Co-Founder of Surge Ventures and CEO of RegVerse, emphasizes the profound impact of Avery, stressing that "navigating intricate regulations presents an ongoing challenge for firms of all sizes.
  • Unified Collaboration Hub: Avery streamlines communication and teamwork, simplifying regulatory management, information exchange, task allocation, and progress tracking.

AdTech Holding Announces Sponsorship of Spartans Sports Club

Retrieved on: 
Thursday, September 14, 2023
The Compliance Team, Health, Adtech (company), Sport, Organization, Physical fitness, Growth, Partnership, Lake

LIMASSOL, Cyprus, Sept. 14, 2023 /PRNewswire/ -- AdTech Holding, the digital advertising and traffic sourcing leader, is proud to announce its exciting new sponsorship of the Spartans sports club in Cyprus.

Key Points: 
  • LIMASSOL, Cyprus, Sept. 14, 2023 /PRNewswire/ -- AdTech Holding, the digital advertising and traffic sourcing leader, is proud to announce its exciting new sponsorship of the Spartans sports club in Cyprus.
  • Spartan dragon boat club members will have the AdTech Holding logo on their t-shirts, cementing the shared values of passion, determination, and teamwork shared by both organizations.
  • One of the reasons why AdTech Holding wanted to partner with and sponsor the Spartans was to promote physical fitness throughout its ranks and the community as a whole.
  • Today, AdTech Holding is an official partner of the Spartans, signaling its long-term commitment to the club's existing and future sports activities.

Helius Medical Technologies, Inc. Reports Second Quarter 2023 Financial Results

Retrieved on: 
Thursday, August 10, 2023
Survivor, Montefiore Medical Center, CMS, Accreditation, Stroke, Gait, Centers for Medicare & Medicaid Services, Pons, HSDT, The Compliance Team, Medical school, Multiple sclerosis, MS, TCT, Food and Drug Administration, Medicare, Andreyev, ATM, Medical University of South Carolina, Patient, PTAP, MUSC, Growth, Research, FDA, Durable medical equipment, Pharmaceutical industry, Health insurance, Video game, Cryptocurrency, Helios

NEWTOWN, Pa., Aug. 10, 2023 (GLOBE NEWSWIRE) -- Helius Medical Technologies, Inc. (Nasdaq:HSDT) (“Helius” or the “Company”), a neurotech company focused on delivering a novel therapeutic neuromodulation approach for balance and gait deficits, today announced results for the quarter ended June 30, 2023.

Key Points: 
  • “We saw a significant increase in sales during the second quarter of 2023, with revenue up 115% over the second quarter of 2022, and up 131% compared to the first quarter of 2023.
  • Selling, general and administrative expenses for the second quarter of 2023 were $2.6 million, comparable to the $2.5 million reported in the second quarter of 2022.
  • Total operating expenses for the second quarter of 2023 decreased to $3.3 million, compared to $3.5 million in the second quarter of 2022.
  • Operating loss for the second quarter of 2023 decreased $0.2 million to a loss of $3.2 million, compared to an operating loss of $3.4 million in the second quarter of 2022.

SelectRx Receives Patient-Centered Pharmacy Home™ Accreditation from The Compliance Team (TCT)

Retrieved on: 
Thursday, July 13, 2023
Biotechnology, Health, Science, Pharmaceutical, Research, The Compliance Team, CMS, Accreditation, Medical home, Pharmacy, TCT, Medicare, Pharmacist, National academy, National Academy of Medicine, Patient, Benchmarking, NYSE, Home, Hospital, Nursing

SelectQuote, Inc. (NYSE: SLQT) today announced that SelectRx, the company’s full-service medication management pharmacy that serves all 50 states, was recently accredited for Patient-Centered Pharmacy Home by The Compliance Team (TCT), a Medicare-approved accreditation organization.

Key Points: 
  • SelectQuote, Inc. (NYSE: SLQT) today announced that SelectRx, the company’s full-service medication management pharmacy that serves all 50 states, was recently accredited for Patient-Centered Pharmacy Home by The Compliance Team (TCT), a Medicare-approved accreditation organization.
  • After successful completion of the program, SelectRx received Exemplary Provider® status, TCT’s exclusive accreditation designation.
  • Patient-Centered Pharmacy Home (PCPH) is The Compliance Team’s award-winning value-based care program focusing on advanced pharmacy practices for chronically ill patients.
  • SelectQuote CEO Tim Danker commented, “We chose to partner with The Compliance Team due to their focus on advanced pharmacy practices.

Rimini Street Foundation Celebrates its 500th Charitable Donation

Retrieved on: 
Wednesday, July 12, 2023
Software, Networks, Data Management, Technology, Apps, Applications, Philanthropy, Fund Raising, Foundation, Heart, Organic, Partnership, Food, Friends, Rimini Street Inc. v. Oracle USA Inc., Chief justice, The Compliance Team, Street, Multimedia, Research, SAP, Oracle, Veteran, Natural Resources, Committee, Organization, Student, Community, Lifting, Encompass, Salesforce, AWS, 500th, Cryptocurrency, Nursing

View the full release here: https://www.businesswire.com/news/home/20230712025546/en/

Key Points: 
  • View the full release here: https://www.businesswire.com/news/home/20230712025546/en/
    Rimini Street announced it is celebrating its 500th charitable donation made to various non-profit organizations around the world through the Rimini Street Foundation.
  • (Photo: Business Wire)
    The Rimini Street Foundation was founded in 2015 as a formal program to give back to the communities in which employees live and work.
  • As a core pillar of the company values – the 4C’s of Rimini Street – Company, Clients, Colleagues and Community – the Rimini Street Foundation was built on the shared mission of its colleagues to “leave the world a better place than we found it.” To achieve this, the Rimini Street Foundation provides financial donations, in-kind gifts, and employee volunteer time, each dedicated to serving the community through activities that directly impact the beneficiaries of our partner charities.
  • Beyond financial giving, the Rimini Street Foundation focuses on unique opportunities to assist the community with extraordinary, heartfelt acts of service.

Helius Medical Technologies Announces DMEPOS Accreditation for PoNS

Retrieved on: 
Tuesday, June 20, 2023
Management of multiple sclerosis, Helios, CMS, Legislation, Accreditation, Centers for Medicare & Medicaid Services, Pons, HSDT, The Compliance Team, Stroke, Multiple sclerosis, TCT, Certification, Medicare, Emerging technologies, Andreyev, Health, Organization

The accreditation certifies that Helius has established processes that conform to TCT’s Exemplary Provider® DMEPOS Quality Standards.

Key Points: 
  • The accreditation certifies that Helius has established processes that conform to TCT’s Exemplary Provider® DMEPOS Quality Standards.
  • “We are thrilled that PoNS has been awarded DMEPOS accreditation.
  • “DMEPOS accreditation has particular relevance under the proposed Transitional Coverage for Emerging Technologies (TCET) legislation.
  • TCT’s proprietary accreditation status is known as Exemplary Provider Accreditation® and its industry-leading accreditation model features healthcare’s first comprehensive set of plain language, operations-driven quality standards with expert-led implementation guidance.

Sheaff Brock Hires New Compliance Manager & Operations Manager

Retrieved on: 
Wednesday, March 1, 2023
The Compliance Team, Tiffany, Research, Operations management, Operation, Record

INDIANAPOLIS, March 1, 2023 /PRNewswire/ -- Sheaff Brock recently added two new hires to its growing team: Brad Stark, who serves as the company's new Compliance Manager, and Tiffany Kryder, who joined as Operations Manager.

Key Points: 
  • INDIANAPOLIS, March 1, 2023 /PRNewswire/ -- Sheaff Brock recently added two new hires to its growing team: Brad Stark , who serves as the company's new Compliance Manager, and Tiffany Kryder , who joined as Operations Manager.
  • Brad Stark is a seasoned compliance professional, bringing over 20 years of experience in financial trading, research and interpretation of regulations, and operations to his role as Compliance Manager.
  • Among his new responsibilities as Compliance Manager at Sheaff Brock, Brad will work directly with the Chief Compliance Officer to manage all compliance work and will oversee regulatory filings for the company and its affiliates.
  • Tiffany brings almost a decade of experience in the finance industry and operations to her role of Operations Manager.

OTC GLOBAL HOLDINGS ANNOUNCES EXPANSION OF ITS COMPLIANCE TEAM AS THE COMPANY REGISTERS RECORD GROWTH IN 2022

Retrieved on: 
Monday, February 6, 2023
TP ICAP, AML, Dodd–Frank Wall Street Reform and Consumer Protection Act, FCE, Newedge Group, Goldman Sachs, EDF, BGC, OB, Chief, TP, IBS, Lavinia, The Compliance Team, Convoy Global Holdings, NFA, OTC, Security (finance)

HOUSTON and LONDON and NEW YORK , Feb. 6, 2023 /PRNewswire/ -- Leading independent interdealer broker OTC Global Holdings (OTCGH) announced today the expansion of its Compliance department with the promotion of several employees and the addition of new hires. This announcement comes as OTC Global Holdings registered record growth in 2022 and prepares to continue its expansion over the next years.

Key Points: 
  • This announcement comes as OTC Global Holdings registered record growth in 2022 and prepares to continue its expansion over the next years.
  • Our record growth and expansion plans for the next 24 months require us to double-down on our compliance capabilities.
  • "Our record growth and the expansion plans for the next 24 months require us to double-down on our compliance capabilities," said Javier Loya, Co-CEO at OTC Global Holdings.
  • "We are delighted to add Bill and Lloyd to our UK compliance team," says Joe Kelly, Co-CEO of OTC Global Holdings.

OTC GLOBAL HOLDINGS ANNOUNCES EXPANSION OF ITS COMPLIANCE TEAM AS THE COMPANY REGISTERS RECORD GROWTH IN 2022

Retrieved on: 
Monday, February 6, 2023
TP ICAP, AML, Dodd–Frank Wall Street Reform and Consumer Protection Act, FCE, Newedge Group, Goldman Sachs, EDF, BGC, OB, Chief, TP, IBS, Lavinia, The Compliance Team, Convoy Global Holdings, NFA, OTC, Security (finance)

HOUSTON and LONDON and NEW YORK, Feb. 6, 2023 /PRNewswire/ -- Leading independent interdealer broker OTC Global Holdings (OTCGH) announced today the expansion of its Compliance department with the promotion of several employees and the addition of new hires. This announcement comes as OTC Global Holdings registered record growth in 2022 and prepares to continue its expansion over the next years.

Key Points: 
  • This announcement comes as OTC Global Holdings registered record growth in 2022 and prepares to continue its expansion over the next years.
  • "Our record growth and the expansion plans for the next 24 months require us to double-down on our compliance capabilities," said Javier Loya, Co-CEO at OTC Global Holdings.
  • The company also announced the addition of Bill Phypers as Senior Compliance Officer overseeing OTC Europe and Lloyd Jensen as Compliance Officer for Oil Brokerage Limited, an OTC Global Holdings subsidiary in London.
  • "We are delighted to add Bill and Lloyd to our UK compliance team," says Joe Kelly, Co-CEO of OTC Global Holdings.

Axos Invest Launches FundFinder+ with LOGICLY Tool Designed for Self-Directed Investors

Retrieved on: 
Tuesday, November 15, 2022
Professional Services, Other Professional Services, Finance, Fintech, Asset Management, Banking, Axos Bank, Hedge fund, API, FDIC, Johnny Eck, NYSE, Broker-dealer, ETF, Collection, DIY, Bitwise operation, Research, Acquisition, The Compliance Team, Axus, Financial institution, Axos Financial, Risk, RIAS, Financial adviser, Financial services, Meeder

Axos Invest has announced the launch of its latest free investor insight tool, FundFinder+ featuring LOGICLY.

Key Points: 
  • Axos Invest has announced the launch of its latest free investor insight tool, FundFinder+ featuring LOGICLY.
  • Designed to mimic the same tool financial advisors use to determine investment products for their clients, its a powerful duo that blends sophisticated screening capabilities with the fund selection opportunities of Axos Invest.
  • Axos Invest is committed to bringing together an array of powerful, streamlined personal investing tools to help DIY investors build the portfolio they want on their own terms, said Axos Invest Senior Vice President Tracy Gallman.
  • With FundFinder+ with LOGICLY, we feel Axos Invest has taken a huge step in that direction.