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When is AML screening required for your business?
AML screening is not a practice confined to major banks. Across a wide range of industries, regulatory obligations apply, and the threshold for compliance...
What investment advisers must know about AI risks
AI has rapidly become one of the most consequential technologies reshaping modern financial services.
According to ACA Group, yet for investment advisers, adopting AI...
How investment advisers should manage AI risk
Artificial intelligence is reshaping financial services at pace. A June–July 2025 McKinsey survey of nearly 2,000 companies across 105 countries found that 88% were...
What the SEC’s 2026 priorities mean for compliance teams
The Securities and Exchange Commission Division of Examinations has published its Fiscal Year 2026 Examination Priorities, offering a clear indication of where regulatory attention...
What FinCEN’s AML rule delay means for investment advisers
In January 2026, the FinCEN confirmed that the long-anticipated Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) requirements for investment advisers will not come...
SEC marketing rule FAQs: what asset managers must know
Zeidler Group has urged asset managers to treat the SEC’s latest Marketing Rule FAQs as a targeted clarification rather than a market-moving change, arguing...
How advisers can strengthen ML/TF/PF risk assessments
Financial planners and investment advisers sit at the heart of household wealth decisions, guiding clients through investments, retirement planning and long-term financial goals, and...
Staying ahead in financial advisor compliance in 2026
Financial advisors operate in one of the most tightly regulated parts of financial services, and the pressure is rising. As client expectations increase, rules...
Avoid penalties with smarter SEC Form ADV preparation
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...
How recent fines shape future communication strategies in FinTech
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 recordkeeping requirements. This latest enforcement wave pushes the total fines levied for similar violations to over $3bn, underscoring the serious, ongoing issue of non-compliance within the industry.
