BasisCode Compliance Technology News | March 2016

Compliance controls top
FINRA focus for 2016

The quality of a firm's compliance controls is climbing higher on the priority stack in both the boardroom and on regulators' examination checklists. In February, for instance, the founder and CEO of a multi-billion dollar human resources software company stepped down over inadequate compliance procedures and internal controls. The same month, the Financial Industry Regulatory Authority (FINRA) urged firms to review their supervisory and compliance controls as a top focus for the year.

Read the full story at BasisCode

Compliance Tech Tip to Keep Regulators at Bay

Financial Planning
By streamlining risk assessments, compliance reviews and ongoing compliance management, technology can help financial firms and compliance consultants maintain a culture of compliance, which regulators are making a top priority this year. Technology can play an even more important role in reaction to a breach, delivering hard evidence of a company's efforts to maintain an audit-ready business. Click here to learn how.

Compliance Software in the Spotlight
with Consultants in Regulators' Crosshairs

Fueled by an increasingly risk-averse regulatory environment, the compliance consulting industry has grown sharply in recent years. A number of consultants are turning to technology to quickly put a more scalable infrastructure in place and to better manage compliance programs on their clients' behalf. [more]

Hardin Compliance Consulting selects
BasisCode Compliance software

BasisCode Compliance today announced that Hardin Compliance is implementing the BasisCode Compliance™ software to help the full-service regulatory compliance consulting firm more easily manage compliance on behalf of its clients. [more]


Conferences & Events

BasisCode Compliance will be exhibiting at SIFMA Compliance & Legal Society Annual Seminar, March 13-16 in Orlando, FL. Stop by and visit us at booth #104.

SIFMA Compliance and Legal
March 13 - 16, 2016 (Orlando, Fl.)

SIFMA Operations
May 2 - 5, 2016 (Miami, Fl.)

NSCP Regional
May 17, 2016 (New York, NY)

FINRA Annual
May 23 - 25, 2016 (Washington, DC)

Save The Date for IA Watch's
Committment to Compliance
September 26, 2016 (Boston, MA)

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