Compliance Insider: November Edition

Here’s the November issue of Ascent’s Compliance Insider!

We hope you had a filling and relaxing Thanksgiving with friends and family! As the countdown to the new year begins and you plan for 2024, we hope to provide helpful content as you review your organization’s compliance technology roadmap. Here are a few new articles and resources that can help.

Part 2 of “Pillars of Strong Compliance”
Part 1 covered compliance fundamentals, stressing corporate definition and law identification. Now, we focus on creating a centralized regulatory obligations library, empowering efficient policy and control management.

Read Part 2 here.

The Gap in the Compliance Automation Value Chain
Why must compliance teams spend so much time reading through a never-ending deluge of regulatory documents just to identify the rule changes that apply to their companies?

It comes down to automation – or the lack thereof. To explore further, take a look at what we call the “gap in the compliance automation value chain.”

Read the article here.

Analyst Report on AI-driven Compliance
Compliance analyst GRC 20/20 just published a detailed report on Ascent compliance automation software. For a deep dive into the Ascent solution, from building an obligations inventory to managing regulatory change.

Access the report here.

Regulatory Roundup
Each month, our team of regulatory compliance experts round up the latest financial services regulatory news, regulations and enforcement actions to keep you abreast of the latest in the industry. Here’s this month’s highlights:

• Cryptocurrency
• Fintech
• Rulemaking & Regulations

Read the full roundup here.

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