#communicationscompliance

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Financial Firms - Electronic Communications Compliance

Current policies are generally and woefully inadequate when it comes to defining what a broker can say and do on social media with their personal accounts. Watch the infographic.

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Communications Compliance | The SEC Crackdown Begins

The move illustrates how regulations and compliance measures in response to those regulations are shifting in this pandemic era. Visit the blog at https://bit.ly/3o2GLZ2

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Impact of ePrivacy Regulation and its Impact on Shield Financial Services

More than nine months have passed since the GDPR (General Data Protection Regulation) came into effect but still, many companies struggle to adapt to the new rules. View this presentation to know about what’s the ePrivacy Regulation and why do we need more data protection rules.

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The next wave of data protection – the ePrivacy regulation and its impact on financial services | Shield

What’s the ePrivacy Regulation and why do we need more data protection rules? What’s the rationale behind more data protection regulations if the GDPR has

Data Protection – The ePrivacy Regulation and its Impact on Shield Financial Services

Read this article to know what’s the ePrivacy Regulation and why do we need more data protection rules?  The ePrivacy Regulation promises to bring more challenges to the financial services industry that is still struggling with the first wave of new data protection regulations.

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Trade Data Proves Crucial in Effective Compliance Investigations | Shield

View this infographic to know how trade data proves crucial in effective Compliance Investigations. Market manipulation can be hard to detect, particularly because in some circumstances it is only evidenced by careful scrutiny of trade-related data. For more info visit - https://bit.ly/2JxxqHf

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Effective Compliance Investigations | Both Communications and Market Data Analysis

Visit this link for conducting an Effective Compliance Investigation. Ensure these investigations are carried out properly, compliance officers must have a complete record of all relevant facts to consider. For more details visit our website.

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Shield FC Launches New Version of its Financial Compliance Data Management Platform

Shield Financial Compliance is proud to announce the launch of its latest version. New features include powerful AI for the reduction of false positives, and the proprietary technology of Financial Context Recognition (FCR). For more details check out this infographic.

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Shield FC | New Version Features - Powerful AI Capabilities for False Positives Reduction

Shield Financial Compliance is a cross-regulation compliance platform that provides a 360 view on electronics communications and trades to make compliance more efficient and ROI driven, is proud to announce the launch of its latest version. Read this blog for more details.