Tag: SEC

In today’s financial services landscape, records management has become a complex compliance issue that firms can no longer afford to overlook. According to Corlytics,...

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...

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.

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.

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

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.

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

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

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.