Tag: Conflicts of Interest

Artificial intelligence is steadily advancing in the Control Room, shifting from basic task automation towards more sophisticated uses such as conflict identification, workflow automation...

Political fundraising in the US keeps growing in scale and complexity, and the run-up to the 2026 midterm elections is accelerating that trend. Candidates,...

The rapid rise of prediction markets is creating a fresh set of compliance challenges for investment advisers. When firms or their staff trade event...

Compliance teams heading into 2027 budget season face a harder question than usual: not whether to renew existing tools, but whether those tools can...

Prediction markets have rapidly become one of the most discussed developments in financial services, opening new avenues for participation while introducing fresh compliance and...

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.