Tag: SEC

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,...

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.