Tag: SEC

Financial services firms are moving quickly to adopt AI note-taker tools because they make meetings easier to document and knowledge easier to share. But...

Crypto is increasingly being treated like a mainstream asset class, and with that shift comes a tougher, more formal approach to regulatory compliance. According to...

Financial advisors sit in one of the most heavily regulated corners of financial services, and the job is getting harder as client expectations rise,...

Email remains one of the most closely scrutinised forms of business communication across regulated industries. From client correspondence and contractual negotiations to internal approvals...

Investment managers are entering 2025 facing a more demanding compliance environment, shaped by heightened regulatory scrutiny and rising expectations from institutional clients. According to...

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...