Tag: SEC

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,...

Corlytics, a regulatory intelligence and risk analytics firm, has published its Q1 2026 enforcement report, revealing that global regulators issued approximately $542m in fines...

The compliance landscape is shifting faster than it has in years. At ACA Group's recent spring media roundtable, ACA experts gathered to discuss the...

For anyone working in surveillance, records or risk at an EU-regulated financial services organisation, the past few months have brought a familiar mix of...

When a newly hired registered representative joins a broker-dealer firm, the compliance clock starts ticking immediately. In most firms, it can take two to...