Tag: regulatory compliance

Investment managers operating across borders are facing a wave of regulatory change, with new disclosure obligations, revised marketing rules and updated registration frameworks now...

AI has rapidly become one of the most overused terms in anti-money laundering (AML) technology. Vendors across the sector now claim their platforms are AI-enabled,...

Regulated financial institutions face mounting pressure to keep customer records not merely compliant at the point of onboarding, but continuously accurate, auditable and inspection-ready....

The UK's Senior Managers and Certification Regime (SMCR) is entering a new chapter — one that promises greater operational flexibility for firms while keeping...

The role of the money laundering reporting officer has undergone a profound transformation. Where once it centred on regulatory expertise — understanding obligations, controls,...

Online trading platforms built for speed are running headlong into one of global finance's most demanding regulatory frameworks — and the cracks are starting...

Zeidler Group, a technology-driven law firm and regulatory compliance services provider for the asset management industry, has named Serena Goldberg as its new chief...

For much of the brokerage industry's recent history, investment followed visibility. Trading platforms became the defining battleground — sleek multi-asset interfaces, mobile-first dashboards, and...

Financial crime compliance (FCC) is undergoing a generational transformation — one arguably more profound than the regulatory overhaul that followed the September 2001 terrorist...

Tax reporting solutions are undergoing rapid transformation as firms grapple with mounting regulatory complexity. With FATCA, CRS and other cross-border obligations generating ever-greater data...