Tag: SEC

Almost every regulated financial firm now operates a speak-up channel, yet far fewer have built a culture in which employees actually feel able to...

US investment managers expecting a more relaxed regulatory environment in 2026 may need to reconsider. Regulatory scrutiny remains focused on investor protection, fiduciary responsibilities...

For organisations operating in the Philippines, registration with the Anti-Money Laundering Council (AMLC) is more than an administrative requirement. It marks the beginning of...

Investment advisers that rely on annual compliance reviews risk overlooking gaps between written policies and day-to-day practices, according to a recent Risk Alert from...

Compliance obligations are spreading well beyond financial services, and according to RegTech firm CUBE, firms that wait for deadlines to force their hand risk...

Regulated organisations no longer answer to a single communications compliance rule. Instead, they sit beneath a web of overlapping regimes, each drafted for a...

ACA's outsourced chief compliance officer (OCCO) service is being positioned as a way for registered investment advisers (RIAs) to close compliance gaps before they...

Compliance teams have traditionally treated content approval as the point where marketing and communications risk is addressed. An advert, email or social media post...

The Securities and Exchange Commission has put forward a proposal that would give digital asset issuers new, tailored routes to raise capital under federal...

Compliance professionals keep asking the same question: will digital assets, tokenisation and prediction markets force regulators to rewrite insider trading law? Increasingly, the answer...