Tag: SEC

A quiet change is reshaping how regulated firms and their supervisors relate to one another, and many risk and compliance teams have yet to...

Compliance obligations are spreading well beyond financial services, and according to RegTech firm CUBE, firms that wait for deadlines to force their hand risk...

Communications compliance is no longer defined by a single rulebook. It is shaped by a patchwork of regimes, each built for a different market,...

Hungarian writer Frigyes Karinthy's 1929 theory that any two people are connected by a short chain of acquaintances was tested by Stanley Milgram in...

Registered investment advisers face growing pressure to prove their compliance programmes are not just written down but actively working, and many are turning to...

Content approval can establish whether an advert or communication meets a firm's compliance requirements before distribution. But once advisers begin reusing, adapting or discussing...

The Securities and Exchange Commission has put forward a new proposal, Regulation Crypto Assets, designed to give crypto asset businesses a clearer route to...

Compliance professionals keep asking the same question: will digital assets, tokenised securities and prediction markets force regulators to rewrite insider trading law? Increasingly, the...

A year on from predictions that Washington's deregulatory mood would soften America's markets regulator, FINRA's own progress report suggests the forecast has landed. According to...

Financial regulators across the US, UK and UAE are converging on a single message: existing rules already apply to artificial intelligence, and firms cannot...