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Compliance

Compliance Monitoring: Leveraging Online Tools to Ensure Compliance in Regulated Industries

Compliance departments are beginning to turn to website monitoring tools to help bolster their compliance monitoring efforts as it’s become increasingly difficult for these firms to remain compliant with industry regulations in recent years. Firms operating in highly regulated / legacy industries suddenly find themselves more vulnerable than ever to fines and penalties from regulators.

All the Security and Compliance Features Announced at AWS Re:Invent 2018

Yet another Re:Invent has concluded, leaving behind a trail of announcements, new features, and vendor swag (how many T-shirts can we possibly own?). Security was a hot topic at this year’s conference; so much so that it was mentioned in-depth within the first 10 minutes of Andy Jassy’s keynote and numerous times afterwards, as well as during Werner Vogel’s keynote the following day.

The Challenge Facing Compliance Officers in the Financial Services Sector

Compliance is a major challenge for firms operating in highly regulated industries that rely on external networks of agents or affiliates to sell and/or promote their products. In wealth management, insurance, and lending industries, regulations stipulate that any “content” that is publicly accessible is considered to be advertising and as such, subject to strict compliance oversight.

Monitoring and Logging Requirements for Compliance

Addressing compliance requirements for monitoring and logging can be a challenge for any organization no matter how experienced or skilled the people responsible are. Compliance requirements are often not well understood by technical teams and there is not much instruction on how to comply with a compliance program. In this article, we’ll discuss what some of these new compliance programs mean, why they are important, and how you can comply with your logging and monitoring system.