Tag: SEC

Accurate and timely SEC Form ADV filings play a critical role in protecting an investment adviser’s reputation and maintaining alignment with regulatory expectations. When firms...

Whether it comes from a doctor, a teacher, or a financial regulator, the word “exam” rarely inspires confidence. In financial services, however, regulatory exams...

Reconciliation has become one of the most urgent priorities for regulated firms as record-keeping obligations grow more complex. According to Theta Lake, with hybrid work,...

For years, many industries have used separate business entities to receive compensation on behalf of independent contractors, often for tax reasons or administrative efficiency....

A large North American mutual fund company managing over $100bn in assets has been required to strengthen oversight of its fixed income trading after...

The US SEC has set out its examination priorities for 2026, signalling that regulated firms should brace for more stringent oversight of their technology...

As Generative AI (GenAI) continues to weave itself into corporate operations, the debate around its use in legal and compliance work has grown louder....

Compliance teams across the financial sector are facing an unprecedented challenge. With staff expected to review an avalanche of emails, instant messages, and chats...

The US Securities and Exchange Commission (SEC) has recently issued an order that underscores the Atkins administration’s focus on marketing accuracy, robust recordkeeping, and...

In an era where financial markets are increasingly interconnected, one of the most critical gaps in trade surveillance remains unsolved: cross-market alerting. Many firms...