Tag: SEC

Norm Ai, a leading company in regulatory AI solutions, has raised $48m in a funding round backed by Coatue, Craft Ventures, Vanguard, Blackstone Innovations...

Investment advisers with a 31 December fiscal year-end are in the midst of updating their Form ADV, with a deadline set for 31 March 2025.

In the complex arena of financial regulation, the challenges are akin to a non-stop deluge of requirements that continually evolve and expand.

The devastating wildfires that erupted in California in early January, compounded by severe rainstorms and mudslides, have left lasting destruction on individuals and communities.

Robinhood has agreed to a substantial $45m settlement with the SEC over various breaches of securities law.

The Philippine SEC is introducing new guidelines aimed at fostering sustainable investment in the country.

In the current geopolitical climate, the regulatory landscapes in the EU and US are increasingly focused on the management of communication data and record-keeping.

NAV lending, a financing mechanism that allows private equity funds to borrow against their net asset value (NAV), is gaining attention as an alternative to traditional bank loans.

The U.S. SEC has released its Examination Priorities for the fiscal year 2025, offering a detailed guide for CCOs to evaluate and enhance their compliance frameworks.

CoreNest Capital, a venture capital firm specialising in financial innovations, has announced a strategic investment in Texture Capital Holdings.