3 Questions with Jean-Marc Levy | Compliance Beat

Eric Morehead, Founder and Principal Consultant at Morehead Consulting, and host of the Compliance Beat interviewed Jean-Marc Levy, CEO of leading RegTech firm ComplySci. Below you can find edited highlights of Eric and Jean-Marc’s conversation: Eric: Can you tell us...

What Will RegTech Look Like Several Years From Now?

The following post was contributed by guest author Gary S. Kaminsky, CEO of GSK Consulting LLC. RegTech, which is all the rage currently in the regulatory/compliance industry, is really in the nascent stages of development. What began as a re-application of FinTech...

The 5-Point Case for Compliance Technology – The Latest DOJ Guidance

On February 8, the US Department of Justice (DOJ) released their latest guidance on corporate compliance programs, the first formal guidance issued by the Fraud Section since President Trump took office on January 20. This latest document includes sample questions...

Employee Personal Trade Monitoring: Can You Trust Your Brokerage Data?

To meet the employee personal trade monitoring requirements of the Investment Advisers Act of 1940 rule 204a-1 you are collecting your employees’ brokerage statements for review. In fact, you’re a step ahead because you’re collecting this data through direct feeds or...

Get ready for the RegTech takeover [FX-MM]

European Chairman of ComplySci, Ronald Gould, was featured in FX-MM, discussing how RegTech is poised to takeover. Why? RegTech is easy to deploy, cost efficient, improves compliance team efficacy and creates incredible efficiencies. “With so many other cost...

RegTech: The indispensable ‘software with service’ [HFM Technology]

The following article was written by ComplySci partner Gary S. Kaminsky, CEO of GSK Consulting, for HFM Technology. To learn more about Gary, click here. RegTech is a term that has exploded into the asset management industry vernacular since the 2008 financial crisis....

Reason #3 to Love ComplySci: World Class Clients

World-Class Clients ComplySci proudly serves over 800 financial institutions spanning 52 countries around the globe including 3 of the top 5 hedge funds and 8 of the top 10 private equity firms. Our clients represent compliance excellence with thought leaders,...
Reason #2 to Love ComplySci: Customer Success

Reason #2 to Love ComplySci: Customer Success

ComplySci has submitted for the 2017 Benzinga Fintech Awards in the categories of Best Analysis Platform and Best Regtech Solution. To remind our valued customers, partners and members of our community why we’re worth your vote, we are publishing the “9...