Tag: SEC

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...

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.