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Event contracts put adviser insider trading controls at risk
The rapid rise of prediction markets is creating a compliance challenge that many investment advisers may not yet be equipped to handle. As event-contract...
SEC scrutiny pushes advisers toward the OCCO model
Registered investment advisers face growing pressure to prove their compliance programmes are not just written down but actively working, and many are turning to...
Why compliance teams can’t wait for AI-specific regulation
Financial regulators across the US, UK and UAE are converging on a single message: existing rules already apply to artificial intelligence, and firms cannot...
Reg S-P puts marketing teams’ AI workflows in the firing line
Regulation S-P has long been filed away as a matter for privacy officers, cybersecurity leads and legal counsel. That framing is now dangerously out...
Why FinCEN’s new AML rule changes everything for RIAs
With FinCEN's new anti-money laundering rule taking effect on 1 January 2026, SEC-registered investment advisers are entering unfamiliar territory, where compliance stretches far beyond...
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...
