Tag: broker dealers

FINRA’s 2026 Annual Regulatory Oversight Report has set a clear tone for the year ahead, placing generative AI (GenAI) governance and off-channel communications squarely...

The U.S. Securities and Exchange Commission has unveiled its Fiscal Year 2026 Examination Priorities, and while the language may appear measured, the message to...

Financial advisors sit in one of the most heavily regulated corners of financial services, and the job is getting harder as client expectations rise,...

The US SEC has set out its 2026 Examination Priorities, and the message for regulated firms is clear: supervisors expect stronger, better documented controls...

Broadridge Financial Solutions has successfully implemented full ISO 20022 cash processing capabilities across its post-trade platform, ensuring its global bank and broker-dealer clients are...

Jump, a provider of artificial intelligence (AI) solutions tailored for financial advisors and financial services firms, has secured $20m in a Series A funding round.

DriveWealth, a pioneer in financial technology with its Brokerage-as-a-Service offerings, has unveiled comprehensive integrations with several leading execution management system (EMS) platforms, including Bloomberg...

Understanding the mindset of intermediaries is paramount for asset managers aiming to engage and collaborate with broker-dealers effectively. It's essential to grasp the key drivers behind their decision-making processes and identify critical contacts within their home offices. Such insights can highlight potential leverage points even before partnerships are forged.

An UBO refers to an individual who, although not always officially recorded, holds significant control or ownership of a business entity, generally marked by owning 25% or more of the company.

The SEC and the CFTC have recently imposed fines totalling $477.75m on 26 broker-dealers and investment advisers for failing to comply with electronic communication...