Tag: SEC

Global regulators handed out more than $931m in penalties above the $1m mark during the second quarter of 2026, the largest quarterly total in...

Regulation S-P has long been filed away as a problem for privacy officers, cybersecurity teams and legal departments. That assumption is now a liability,...

The SEC's evolving regulatory agenda is forcing private fund managers to confront hard questions on AI governance, cybersecurity and the rapid retailization of private...

The US Securities and Exchange Commission (SEC) has fined Bank of America's Merrill Lynch business $7.5m after finding the firm failed to file numerous...

AI governance in financial services is not a future problem but a present one, according to Brian Rubin, whose insights were shared in a...

Registered investment advisers in the US have officially entered a new regulatory era. FinCEN's landmark anti-money laundering rule came into force on 1 January...

The migration of traditional equities onto blockchain infrastructure is shifting from experimentation into institutional reality, and according to RegTech firm TAINA Technology, the industry...

For compliance teams at asset management firms, allocation review has quietly become one of the most thankless tasks in the working day. Hours are...

Every year, financial institutions collectively spend over $300bn on compliance. That figure, drawn from research spanning global banking, insurance, and asset management, has grown...

Communications archiving has transformed from a back-office checkbox into one of the most fiercely contested battlegrounds in regulated technology this year. Twelve months ago,...