Tag: SEC

As Generative AI (GenAI) continues to weave itself into corporate operations, the debate around its use in legal and compliance work has grown louder....

Compliance teams across the financial sector are facing an unprecedented challenge. With staff expected to review an avalanche of emails, instant messages, and chats...

The US Securities and Exchange Commission (SEC) has recently issued an order that underscores the Atkins administration’s focus on marketing accuracy, robust recordkeeping, and...

In an era where financial markets are increasingly interconnected, one of the most critical gaps in trade surveillance remains unsolved: cross-market alerting. Many firms...

Compliance teams in financial services are under unprecedented strain. The explosion in digital communications—from emails to chat apps—has pushed the volume of data requiring...

Faced with rising regulatory scrutiny and ever-growing workloads, internal audit teams within banking institutions are under immense pressure.

Document management systems (DMS) have become a critical tool for organisations looking to enhance security while meeting compliance requirements.

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.

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

As regulatory scrutiny in the asset management sector intensifies, Zeidler Group is stepping up with an AI-powered solution that promises to transform compliance.