Tag: SEC

Accurate and timely Form ADV filings play a central role in maintaining trust with regulators and protecting an investment adviser’s reputation. When firms fall behind,...

The word “exam” tends to trigger anxiety, whether it comes from a school, a doctor, or a financial regulator. In financial services, however, regulatory...

Reconciliation has become one of the most important components of compliance, particularly as regulated firms face more complex communication environments and increasing regulatory scrutiny. The...

For years, broker-dealer groups have questioned whether their representatives could be paid through personal service companies. The practice is common in other industries, where individuals...

A major North American mutual fund manager controlling more than $100bn in assets recently faced heightened scrutiny over its fixed income oversight. While the...

The US SEC has set out its 2026 Examination Priorities, and the message for regulated firms is clear: supervisors expect stronger, better documented controls...

Compliance teams across the financial sector are grappling with overwhelming volumes of communications. From emails to messaging apps, the daily flood of interactions now...

Generative AI (GenAI) is increasingly integrated into corporate workflows, with advocates predicting sweeping transformation across industries. Yet Zeidler Group, a LegalTech-focused law firm, warns...

The US Securities and Exchange Commission (SEC) has recently issued an order that underscores the Atkins administration’s focus on marketing accuracy, robust recordkeeping, and...

In the increasingly interconnected world of financial markets, one of the most persistent challenges facing firms is the lack of effective cross-market alerting. While companies...