Tag: FINRA

Reconciliation has become one of the most important components of compliance, particularly as regulated firms face more complex communication environments and increasing regulatory scrutiny. The...

The latest National Financial Capability Study from the FINRA Foundation has shed light on how U.S. investors are reassessing their expectations, information sources and...

FINRA’s recent focus on artificial intelligence marks a significant moment for US financial regulation, with the organisation accelerating efforts to embed GenAI into its...

Finastra has expanded its Fusion Invest platform with new functionality designed to meet the complex needs of annuities carriers.

Compliance teams across the financial sector are grappling with overwhelming volumes of communications. From emails to messaging apps, the daily flood of interactions now...

Compliance teams in financial services are facing unprecedented pressure as communication volumes soar across chat apps, messaging platforms, and traditional email. Regulatory scrutiny continues...

Using a document management system (DMS) has become an effective way for organisations to protect sensitive data while meeting compliance requirements. These systems help...

Netcapital, a FinTech firm operating a digital private capital markets ecosystem, has announced a fresh funding deal under Nasdaq rules.

The asset management sector is entering a new regulatory era, marked by heightened scrutiny and evolving marketing rules. In 2024 alone, the US SEC issued a record number of enforcement actions targeting fund marketing activities.

Retail investors have become a powerful force in the options market, with their share estimated to range between 45% and 60%, depending on how it's calculated. Although their activity surged during the pandemic, it has remained strong, fuelled by the appeal of options as a versatile and leveraged instrument that supports a range of short-term and event-driven strategies.