Tag: Investment companies

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

The Digital Operational Resilience Act (DORA), which took effect on January 16, 2023, is a crucial piece of legislation designed to bolster the digital resilience of the financial sector.

Investment companies employ a variety of techniques to recommend mutual funds to their customers.