Tag: investor protection

The European Parliament has reached a provisional agreement with the Council on a wide-ranging package of measures designed to encourage greater retail participation in...

The Children’s ISA (TCI), the UK’s specialist provider of children’s ISA products, has successfully moved all 126,000 of its ISA and Junior ISA accounts...

The European Securities and Markets Authority (ESMA) recently revealed that ESG-related fund names have a measurable influence on investor behaviour. According to its latest research,...

The Abu Dhabi Global Market (ADGM) has issued a major enforcement action, shining a spotlight on the regulatory vulnerabilities facing virtual asset firms. This move serves as a stark reminder of the growing scrutiny within financial free zones, particularly in the rapidly evolving digital asset space.

The Belgian Financial Supervisor FSMA has recently introduced the Retail Investor Dashboard, a new tool aimed at enhancing transparency in the financial market by...

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...

In the modern interconnected business landscape, the proliferation of communication platforms demands that companies vigilantly monitor and manage various communication channels. According to ACA Group,...

In recent years, off-channel communications have come under the intense scrutiny of regulators like the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). This scrutiny is largely due to the risks these unmonitored communications pose, ranging from compliance issues to gaps in record-keeping that can affect investor protection.

With the digital threat landscape ever-evolving, portfolio companies find themselves at the receiving end of 43% of annual cyberattacks.

WealthArc is revolutionising the way External Asset Managers handle compliance, making the arduous tasks associated with meeting FinSA/FinIA regulations more manageable and cost-effective.