Tag: SEC
Why RIAs are turning to outsourced compliance chiefs
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...
Why approved content still creates compliance risk
Compliance teams have traditionally treated content approval as the point where marketing and communications risk is addressed. An advert, email or social media post...
SEC digital asset rules could unlock billions in new capital
The Securities and Exchange Commission has put forward a proposal that would give digital asset issuers new, tailored routes to raise capital under federal...
Old insider trading rules meet new digital markets
Compliance professionals keep asking the same question: will digital assets, tokenisation and prediction markets force regulators to rewrite insider trading law? Increasingly, the answer...
FINRA loosens grip as deregulation push accelerates
Back in early 2025, the LeGaye Law Firm wrote, “The Financial Industry Regulatory Authority (FINRA), while not a federal agency, operates under the supervision...
AI governance gap puts financial firms at examination risk
Financial regulators across the US, UK and UAE are converging on a single message: firms do not need to wait for AI-specific rules before...
RegTech becomes non-negotiable for US investment managers
US investment managers are being warned that 2026's regulatory landscape is not lighter, just sharper, as the SEC narrows its focus to fraud and...
Why AI recordkeeping is becoming a compliance risk
Financial firms are making decisions about artificial intelligence before regulators have established an AI-specific rulebook. But according to Red Oak Analysis, the absence of...
The CUBE Read notes 3 shifts in financial services regulation
Risk and compliance functions in financial services are being asked to do more than watch the regulatory horizon, according to CUBE's latest fortnightly briefing,...
SEC AI checks put firms’ governance under scrutiny
The US Securities and Exchange Commission’s Division of Examinations has begun requesting information from financial firms about their use of artificial intelligence, according to...
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