Tag: SEC

Compliance teams in financial services are facing unprecedented pressure as communication volumes soar across chat apps, messaging platforms, and traditional email. Regulatory scrutiny continues...

Faced with rising regulatory scrutiny and ever-growing workloads, internal audit teams within banking institutions are under immense pressure. In 2024, oversight from regulators such as...

Using a document management system (DMS) has become an effective way for organisations to protect sensitive data while meeting compliance requirements. These systems help...

Netcapital, a FinTech firm operating a digital private capital markets ecosystem, has announced a fresh funding deal under Nasdaq rules.

Shareholding disclosure rules are vital for maintaining market transparency and are enforced globally, requiring investors to notify regulators when holdings reach defined thresholds linked to voting rights, share capital or share classes. However, financial institutions now face increased difficulty keeping up with shifting regulatory requirements and compressed reporting timelines.

Registered Investment Advisers (RIAs) in the United States are bound by fiduciary duty, a legal standard enforced by the Securities and Exchange Commission (SEC), which requires them to act in the best interests of their clients.

The asset management sector is entering a new regulatory era, marked by heightened scrutiny and evolving marketing rules. In 2024 alone, the US SEC issued a record number of enforcement actions targeting fund marketing activities.

The evaluated pricing landscape is undergoing a significant transformation, driven by technological advancement, regulatory updates, and investor demand for transparency. At the 3rd Annual...

Firms regulated by the SEC or FCA must treat regulatory examinations and supervisory visits as part of their business-as-usual operations. While SEC exams are...

Traditional retail banks are under pressure as FinTechs and neobanks continue to draw customers away with faster, more intuitive digital services. Built on flexible,...