Tag: Regulation

As the financial market continues to evolve through the explosion of new technologies, new regulatory challenges will arise. How can technology help fix this?

Compliance Risk, the sole Governance-as-a-Service solution crafted specifically by MSPs for MSPs, has shared significant updates about its direction in the industry.

The private markets have witnessed a substantial increase in managed assets over the last decade, attracting the attention of U.S. regulators aiming to enhance transparency through expanded regulation. With these regulatory developments, it's time to re-evaluate the Global Investment Performance Standards (GIPS), which have evolved from being the gold standard for investment performance presentation to a tool that assists advisers in meeting new regulations.

The Markets in Crypto-Assets Regulation (MiCA) is setting a precedent, crafting a well-structured framework for regulating crypto-assets throughout the European Union (EU) which are not yet encased by current financial services legislations. 

The SEC has always been at the forefront of regulating firms, ensuring they maintain good marketing practices. Its risk alerts play an instrumental role, offering firms the much-needed guidance to prepare for impending examinations.

Flagright recently took a deep dive into the topic of firms adopting a proactive approach to regulatory change management. 

Travis Schwab - the CEO of Eventus - the global provider of state-of-the-art, at-scale trade surveillance software across all lines of defense – recently spoke...

Key US FinTech investment stats in H1 2023: • California was the most active US state for FinTech investmenbt with a 26.8% share of all...

China has recently introduced new measures making it easier for insurance firms to invest in its domestic stocks.

As summer begins to gradually wind down, many in the ESG sector are now looking to the regulatory trends in the second half of the year.