Tag: SEC

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.

The Financial Crimes Enforcement Network (FinCEN) has recently issued a pivotal final rule that mandates registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish comprehensive anti-money laundering (AML) and countering the financing of terrorism (CFT) frameworks under the Bank Secrecy Act (BSA).

The landscape of compliance is evolving rapidly, and gone are the days when compliance officers solely relied on manual processes and traditional methods. Artificial intelligence (AI) is redefining the field, offering significant advancements in efficiency and automation, alongside introducing new complexities and regulatory concerns.

In the evolving landscape of work, particularly in hybrid and remote settings, tools that enhance connectivity and engagement, like Zoom's Workvivo, are becoming indispensable for fostering a vibrant workplace culture.

The SEC has recently announced a significant extension to the compliance dates for the amendments to the Investment Company Act's Names Rule. Initially set...

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.