Tag: investor protection

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.

The landscape of banking and investments in the UK is undergoing a monumental shift, driven by the wave of digital innovation and new regulations. In a groundbreaking study from everyoneINVESTED, 5,021 UK banking clients were profiled digitally in just 11 days, demonstrating the efficiency and potential of digital solutions in the banking sector.

Key French FinTech investment stats in 2023: • French FinTech deal activity totalled at 147 transactions in 2023, a 12% reduction from 2022 • French FinTech...

AdvisorCheck, a platform offering comprehensive data and transparency tools to investors vetting financial advisors, has raised $1.8m.