Tag: SEC

AI governance in financial services is no longer a distant concern, according to a new fireside conversation hosted by RegTech firm Red Oak Compliance,...

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...

The migration of traditional equities onto blockchain infrastructure is shifting from experiment to institutional reality, but according to RegTech firm TAINA Technology, the industry...

Financial institutions collectively pour more than $300bn into compliance every year. That figure, drawn from research spanning global banking, insurance and asset management, has...

Archive modernisation has quietly become one of the most fiercely contested categories in regulated communications. A year ago, "archive" was little more than a...

Corlytics, a regulatory intelligence and risk analytics firm, has published its Q1 2026 enforcement report, revealing that global regulators issued approximately $542m in fines...

The compliance landscape for investment managers is shifting faster than it has in years. At ACA Group's recent spring media roundtable, the firm's experts...

If you work in surveillance, records or risk at a financial services firm operating in or adjacent to the EU, you have probably spent...

When a newly registered representative joins a broker-dealer firm, the compliance clock starts ticking immediately. In many organisations, it can take two to three...

AI has rapidly become one of the most consequential technologies reshaping modern financial services. According to ACA Group, yet for investment advisers, adopting AI...