Tag: SEC

Compliance teams in financial services are under unprecedented strain. The explosion in digital communications—from emails to chat apps—has pushed the volume of data requiring...

Faced with rising regulatory scrutiny and ever-growing workloads, internal audit teams within banking institutions are under immense pressure.

Document management systems (DMS) have become a critical tool for organisations looking to enhance security while meeting compliance requirements.

Shareholding disclosure rules remain a cornerstone for market transparency across global jurisdictions, requiring investors to report holdings when they hit specific thresholds tied to voting rights, share capital or the total outstanding shares in a class. However, keeping pace with regulatory shifts impacting disclosure data and reporting processes has become increasingly challenging for financial institutions.

Registered Investment Advisers (RIAs) in the United States are bound by fiduciary duty, a legal standard enforced by the Securities and Exchange Commission (SEC),...

As regulatory scrutiny in the asset management sector intensifies, Zeidler Group is stepping up with an AI-powered solution that promises to transform compliance.

Firms regulated by the SEC or FCA must treat regulatory examinations and supervisory visits as part of their business-as-usual operations. While SEC exams are...

Traditional retail banks are under pressure as FinTechs and neobanks continue to draw customers away with faster, more intuitive digital services. Built on flexible,...

In the wake of a recent cyberattack targeting a popular third-party messaging tool, the compliance world is facing a renewed call for scrutiny. According...

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,...