BasisCode Compliance Technology News | December 2015

Managing the convergence of
compliance and technology

Citigroup recently agreed to pay a $15 million penalty for failing to enforce compliance breaches that technology could have prevented. As evidenced by such high-profile cases, even some of the leading financial firms overlook the role that technology can play in avoiding costly compliance failures.

Read the full story at BasisCode

When it Comes to Compliance, Evidence is Everything

Financial Planning
As industry debate intensifies regarding chief compliance officer (CCO) liability and the perils of outsourcing, compliance professionals should take a closer look at the role technology can play to keep their firm in good stead with regulators. When it comes to compliance management and malfeasance, evidence is everything—and technology can prove invaluable, in this regard. [more]

BasisCode Compliance Introduces
New Software Platform for Consultants

BasisCode Compliance has introduced a new version of its software developed specifically for compliance consultants. BasisCode Compliance is the industry’s broadest integrated compliance software platform for asset managers, advisors and other financial services firm. The new software helps attorneys, auditors, fund administrators, accountants and other consultants more easily manage compliance on clients" [more]


News & Notes


Conferences & Events

Industry award-recognized BasisCode Compliance will be sponsoring and/or exhibiting at the following leading conferences:

The MarketCounsel Summit
Dec. 7 - 10, 2015 (Miami, Fl.)

TD Ameritrade National LINC Conference
Feb. 3 - 6, 2016 (Orlando, Fl.)

IA Compliance: "The Full 360° View"
Feb. 24 - 26, 2016 (Washington, DC)


BasisCode in the Headlines

BasisCode Compliance is being covered by a growing number of leading industry publications. To view our recent press coverage click here.

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