Trusted by the world’s leading firms
Why leading financial services firms rely on GAN Integrity
GAN Integrity is how compliance teams at financial services firms get the tools and expertise to stay ahead of risk. With less effort and more reach, you finally get a better way to do your good work.
See everything – Gain a complete picture of overall regulatory risk and compliance in one place.
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Adapt to anything – Tailor the platform to your organization, regardless of your tech stack, regions, risk appetite, and other complexities -all without heavy lifting or expense.
Get all the help you need – Receive dedicated support from GAN Integrity’s expert team.
Compliance challenges for the financial services industry
Compliance teams in the financial services industry can feel like they face an unfair fight. The sector is under intense regulatory scrutiny with new capital requirements, consumer compliance mandates, and enhanced governance expectations.
Teams must manage a wide range of programs, including Anti-Bribery and Anti-Corruption (ABAC), Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF), cybersecurity and operational resilience, data privacy and protection, and consumer protection and fair treatment.
Third-party risk management and operational resilience are also key concerns, particularly with dependencies on critical third parties. Managing the compliance risks associated with the use of AI and other emerging technologies adds another layer of complexity.
Steps to achieving compliance in the financial services industry
Achieving compliance in any organization involves a series of strategic steps:
Compliance in the Financial Industry
Risk Assessment
Identify potential compliance risks specific to your financial services operations.
Objective Setting
Define clear compliance goals that align with your operational objectives.
Documentation
Maintain thorough records of compliance efforts and decisions.
Training
Educate employees about compliance requirements tailored to the financial services industry.
Monitoring and Auditing
Regularly review compliance status and adjust practices as needed.
Reporting System
Establish clear channels for reporting issues and disclosures.
Issue Response
Quickly address non-compliance issues to prevent disruptions.
Continuous Improvement
Regularly update compliance practices to stay ahead of regulatory changes.
GAN Integrity for Financial Services
GAN Integrity’s ethics compliance and risk management platform streamlines the compliance process by organizing requirements, automating tasks, and providing up-to-date information on regulatory changes, making it easier for you to do your work. Compliance teams can see everything, adapt to anything, and get all the help they need.
Disclosure Management
Consolidate your disclosures for conflicts of interest, gifts, travel, entertainment, and political and charitable donations or contributions. Capabilities include:
- Policy management: Develop and enforce comprehensive disclosure policies. Educate and engage your workforce with targeted training and policy attestations.
- Flexible disclosure process: Simplify the submission of potential conflicts of interest with user-friendly forms, ensuring easy access for employees.
- Automated approvals and reviews: Enhance compliance with automated approval and review workflows. Quickly escalate notifications to relevant stakeholders to address potential risks.
The GAN Integrity Platform means all your compliance and ethics programs can be managed in one place - now that's better.
Ready for better? Receive a personalized demo.
Schedule your personalized demo of our solutions to start your journey toward a better way to unify ethics, compliance, and risk management across your enterprise.
