Tag: Compliance

As investment managers face mounting regulatory scrutiny and increasingly sophisticated client expectations, compliance with the Global Investment Performance Standards (GIPS) continues to play a...

Fraud losses continue to rise at an alarming pace. In 2024, consumers and businesses reported losing more than $12.5bn to fraud, marking a 25%...

Accurate and timely SEC Form ADV filings play a critical role in protecting an investment adviser’s reputation and maintaining alignment with regulatory expectations. When firms...

AI adoption across financial crime and compliance functions is accelerating, moving rapidly from experimentation to operational necessity. Hawk partnered with Chartis to survey 250 banks,...

A global asset manager found itself stuck with outdated processes that were slowing down its compliance efforts and creating unnecessary risk. Zeidler Group was...

Whether it comes from a doctor, a teacher, or a financial regulator, the word “exam” rarely inspires confidence. In financial services, however, regulatory exams...

KYC failures are becoming a growing and costly issue across financial services and adjacent industries as fraud tactics continue to evolve. In 2024 alone,...

Early insights from the 2026 Sanctions, Watchlist & PEP Screening Trends Survey are beginning to take shape, with 149 responses collected so far by...

For decades, compliance has relied on static rules, watchlists and retrospective checks, creating growing volumes of noise while critical risks slip through the cracks....

Sweeping new sanctions targeting the global energy sector are redefining how supply chains operate, with regulators in the EU, US and UK introducing far-reaching...