Tag: Compliance

Shareholding disclosure rules remain a cornerstone for market transparency across global jurisdictions, requiring investors to report holdings when they hit specific thresholds tied to voting rights, share capital or the total outstanding shares in a class. However, keeping pace with regulatory shifts impacting disclosure data and reporting processes has become increasingly challenging for financial institutions.

The Financial Action Task Force (FATF) has updated its grey list, reshaping the compliance landscape for several jurisdictions as it continues to enforce global standards in anti-money laundering (AML) and counter-terrorist financing (CFT).

The Asia-Pacific region remains a compelling growth destination for global financial firms, despite facing significant regulatory and geopolitical complexities. According to the latest ASIFMA 2025 Asia-Pacific Capital Markets Survey, now in its fourth year, there is a strong sense of optimism among firms looking to deepen their presence across the region.

Choosing the right Document Management System (DMS) is more than a software choice. It is a step towards eliminating chaotic workflows, reducing errors, and ensuring teams can collaborate efficiently.

EverC has unveiled its latest solution, Instant Onboarding, aimed at helping payment providers accelerate merchant onboarding while enhancing risk intelligence before threats can enter...

Registered Investment Advisers (RIAs) in the United States are bound by fiduciary duty, a legal standard enforced by the Securities and Exchange Commission (SEC),...

Bonfy.AI, a specialist in adaptive content security for AI and human-generated content, has emerged from stealth mode, aiming to transform how organisations monitor and protect their digital content.

While many sectors such as financial services have long made risk management, compliance and operational resilience a top priority, the retail industry has tended...

Hackford, a London-based RegTech startup, has launched a new software platform aimed at making the UK’s FCA Register more usable for compliance and sales...

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...