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From audit trails to accountability: how traceability transforms compliance

In today’s rapidly shifting regulatory landscape, firms are under mounting pressure to shift from reactive to proactive compliance. The days of treating compliance as...

What is the double-edged sword of AI in compliance?

The landscape of compliance is evolving rapidly, and gone are the days when compliance officers solely relied on manual processes and traditional methods. Artificial intelligence (AI) is redefining the field, offering significant advancements in efficiency and automation, alongside introducing new complexities and regulatory concerns.

How Theta Lake harmonises employee engagement with compliance in Workvivo

In the evolving landscape of work, particularly in hybrid and remote settings, tools that enhance connectivity and engagement, like Zoom's Workvivo, are becoming indispensable for fostering a vibrant workplace culture.

SEC grants additional compliance time for investment fund names rule

The SEC has recently announced a significant extension to the compliance dates for the amendments to the Investment Company Act's Names Rule.

Regulatory AI firm Norm Ai raises $48m to enhance compliance automation

Norm Ai, a leading company in regulatory AI solutions, has raised $48m in a funding round backed by Coatue, Craft Ventures, Vanguard, Blackstone Innovations Investments, Bain Capital, New York Life Ventures, Citi Ventures, TIAA Ventures, and Marc Benioff.

How NAV lending is reshaping private equity funding amid regulatory concerns

NAV lending, a financing mechanism that allows private equity funds to borrow against their net asset value (NAV), is gaining attention as an alternative...

Financial crime and conduct: Q3 enforcement highlights from Corlytics

Corlytics has released its regulatory enforcement data for Q3, showcasing a surge in regulatory actions, record fines, and a stronger emphasis on senior staff conduct.

Kaizen secures £42m in first external funding round led by Guidepost...

Kaizen has successfully completed its first external funding round, securing a £42m investment from Guidepost Growth Equity.

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.

SEC launches defence of new climate disclosure rules amidst legal challenges

The SEC has actively defended its newly established climate reporting rules, which have sparked a flurry of legal challenges.

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