Tag: Conflicts of Interest

Accurate and timely Form ADV filings play a central role in maintaining trust with regulators and protecting an investment adviser’s reputation. When firms fall behind,...

In the rapidly evolving landscape of financial regulation, companies face the pressing challenge of staying compliant while managing the efficiency and reliability of their operations. This is precisely the gap that b-next aims to bridge with its innovative solution, CMC:eSuite, a platform trusted by regulators throughout the European Union.

Key European ESG FinTech investment stats in Q1 2024: • European ESG FinTech deal activity reached 14 transactions in Q1 2024, a 16% increase from...

The European Securities and Markets Authority (ESMA), the top regulator and supervisor of the European Union’s (EU) financial markets, has issued its inaugural consultation package under the framework of the Markets in Crypto-Assets Regulation. Stakeholders are invited to share their views until 20 September 2023.