Tag: SEC

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...

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.