Tag: Regulation

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.

Key FinTech investment stats in Belgium during 2019 – H1 2023 • Belgian FinTech deal activity is on track to reach 20 transactions in 2023,...

Starting in 2025, businesses that meet certain criteria will need to align with the CSRD, based on their 2024 fiscal operations.

RegTech firm Flagright recently described in detail the UK's regulations on terrorism financing and money laundering. 

Theta Lake recently provided a deeper look into the high level of fines that are being aimed at financial institutions.