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Are you ready for regulatory change?
Recent upheavals in the banking industry have sharpened the regulatory gaze for 2023. Regional banks have the usual complex interplay of state, federal and international compliance requirements, but those are…
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Is the CCO Liable? Two SEC Cases, Two Wildly Different Rulings
Understandably, CCOs worry about being held personally responsible for compliance failures. That is, in fact, exactly what legislators and regulators intended by creating rules subjecting CCOs to personal liability for…
Ascent TeamMarch 16, 2023
9 Common RegTech Questions, Answered
As a young industry, RegTech often gives rise to a host of questions — everything from “what is it?” to “how does it work?” to “how will it affect me?”…
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