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How to choose broker-dealer compliance software
When a newly registered representative joins a broker-dealer firm, the compliance clock starts ticking immediately. In many organisations, it can take two to three...
What investment advisers must know about AI risks
AI has rapidly become one of the most consequential technologies reshaping modern financial services.
According to ACA Group, yet for investment advisers, adopting AI...
How prediction markets are reshaping compliance risk
Something significant happened at NYU Law School on 31 March 2026. David I. Miller, the newly appointed director of enforcement at the Commodity Futures...
Misleading marketing: SEC’s warning to fund managers
A recent US Securities and Exchange Commission (SEC) settlement with a Florida-based investment manager is serving as a reminder to the asset management industry,...
How FINRA’s updated gifts rule reshapes compliance in 2026
The US Securities and Exchange Commission (SEC) approved amendments to FINRA's Rule 3220 in February 2026, raising the annual gift limit from $100 to...
SEC fines NYSE $9m over major trading glitch
The SEC has imposed a $9m civil penalty on the New York Stock Exchange (NYSE) after a technical failure disrupted the opening auctions of...
What the SEC’s 2026 priorities mean for compliance teams
The Securities and Exchange Commission Division of Examinations has published its Fiscal Year 2026 Examination Priorities, offering a clear indication of where regulatory attention...
Why prediction markets are testing regulatory boundaries
As prediction markets move steadily into the mainstream, compliance teams and regulators are facing a deceptively simple but increasingly urgent question: who is actually...
SEC marketing rule FAQs: what asset managers must know
Zeidler Group has urged asset managers to treat the SEC’s latest Marketing Rule FAQs as a targeted clarification rather than a market-moving change, arguing...
Seven AI notetaker risks CCOs can’t ignore
Financial firms are rolling out AI note-taker tools at speed, drawn by the promise of lighter admin and faster documentation. But convenience comes with...
