Tag: SEC

The SEC, J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Investment Management (JPMIM) have agreed to a substantial settlement following a series of violations....

Allvue Systems, a distinguished provider in technology for alternative asset managers and fund administrators, recently introduced Fund Administration Essentials.

In late 2022, the SEC implemented Rule 206(4), marking a significant change in compliance requirements for Investment Advisers (IAs).

The recent $390m fine imposed by the SEC on 26 interdealer brokers and advisors highlights a growing concern within the financial sector: the imperative of proper electronic communications management.

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 financial regulatory landscape, understanding and adhering to FINRA's Rule 2090, commonly known as the KYC rule, is crucial for brokerage firms.

The SEC has actively defended its newly established climate reporting rules, which have sparked a flurry of legal challenges.

LinkedIn has become an essential tool for professionals, especially within the financial services industry. According to Theta Lake, with its impressive networking capabilities, LinkedIn...

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,...

With regulatory fines for inadequate eComms surveillance soaring in 2024, eflow Global has introduced an upgraded version of its AI-driven platform, TZEC.