Tag: SEC

The US Securities and Exchange Commission (SEC) approved amendments to FINRA's Rule 3220 in February 2026, raising the annual gift limit from $100 to...

The SEC has imposed a $9m civil penalty on the New York Stock Exchange (NYSE) after a technical failure disrupted the opening auctions of...

The Securities and Exchange Commission Division of Examinations has published its Fiscal Year 2026 Examination Priorities, offering a clear indication of where regulatory attention...

As prediction markets move steadily into the mainstream, compliance teams and regulators are facing a deceptively simple but increasingly urgent question: who is actually...

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...

Financial firms are rolling out AI note-taker tools at speed, drawn by the promise of lighter admin and faster documentation. But convenience comes with...

Crypto is no longer operating at the edge of the financial system. As digital assets push further into the mainstream, regulators are tightening expectations...

Financial advisors operate in one of the most tightly regulated parts of financial services, and the pressure is rising. As client expectations increase, rules...

Email remains one of the most scrutinised communication channels in regulated industries, sitting at the centre of client interactions, contractual negotiations, internal approvals, and...

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