Delving into a brief history lesson, regulators formerly existed in the form of a collective bargaining union. For example, employees wanted a raise, but no rules formerly existed around wages. There were no minimum wage or age restrictions. When picturing the Great Depression, we often think about bank runs, and how when people were trying …
What is a regulator and why should this matter to you? Read More »
There’s nothing new about the application of technology to improve a company. As every new technology comes along, companies look to capitalize on applying that tech to increase sales or decrease expenses. But with such massive focus on the top-line and the bottom-line, many firms rarely think of how those innovations could enhance their compliance. Not only do these newer technologies give rise to additional …
Technology is a powerful tool. Are you using it responsibly? Read More »
By Aaron B. Heisler, MBA The reality for most firms is that being in full compliance with every single regulation and rule applicable to your firm is both overwhelming and cost-prohibitive – particularly for large, complex firms. So decisions are made about the level of compliance that firms will meet. I believe that every manager …
By Mary Kopczynski (J.D./Ph.D.) As a regulatory expert with a law degree and a Ph.D., I thought I knew everything about regulation. But when RegAlytics launched our beta in early 2019, we discovered two very shocking things about the regulatory compliance industry. First, there are way more regulators than people realize. Did you know, for …
All the stats you hear about regulatory data are wrong Read More »
By Mary Kopczynski, J.D./Ph.D. Compliance doesn’t matter, until it does. Believe me. As a Wall Street crisis manager for over a decade, I can’t tell you how many times I have watched institutions get surprised by a fine or a rule, blow millions to address it, only to find that it soon changes and …
You thought you were in compliance, until this happened… Read More »
