Tag: SEC

Corlytics has released its regulatory enforcement data for Q3, showcasing a surge in regulatory actions, record fines, and a stronger emphasis on senior staff conduct.

In today’s rapidly shifting financial landscape, it’s critical for investment advisors to fully understand their clients’ investments in digital assets.

Kaizen has successfully completed its first external funding round, securing a £42m investment from Guidepost Growth Equity. This marks a significant milestone for the...

The SEC, J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Investment Management (JPMIM) have agreed to a substantial settlement following a series of violations....

Allvue Systems, a distinguished provider in technology for alternative asset managers and fund administrators, recently introduced Fund Administration Essentials.

In late 2022, the SEC implemented Rule 206(4), marking a significant change in compliance requirements for Investment Advisers (IAs).

The recent $390m fine imposed by the SEC on 26 interdealer brokers and advisors highlights a growing concern within the financial sector: the imperative of proper electronic communications management.

The SEC and the CFTC have recently imposed fines totalling $477.75m on 26 broker-dealers and investment advisers for failing to comply with electronic communication...

In the financial regulatory landscape, understanding and adhering to FINRA's Rule 2090, commonly known as the KYC rule, is crucial for brokerage firms.

The SEC has actively defended its newly established climate reporting rules, which have sparked a flurry of legal challenges.