Tag: SEC

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,...

Greenlite AI has secured $15m in a Series A funding round aimed at expanding its trusted AI workforce for combating financial crime. The round was backed...

Pineapple Financial, a Canadian mortgage technology and brokerage company, has announced the pricing of a $1.5m public offering.

In today’s financial services landscape, records management has become a complex compliance issue that firms can no longer afford to overlook. According to Corlytics,...

With FinCEN’s final rule extending BSA obligations to RIAs and ERAs from January 1, 2026, the investment advisory landscape is entering a new era...

The Securities and Exchange Commission (SEC) has approved the Form 1 application for the Green Impact Exchange (GIX), marking a major milestone in the...

In today’s rapidly shifting regulatory landscape, firms are under mounting pressure to shift from reactive to proactive compliance. The days of treating compliance as a tick-box exercise are over. Increasingly, enforcement agencies demand that firms embed compliance into the fabric of operations—making traceability and connected controls central to staying ahead of risk and regulation.