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California retained its position as the main US RegTech hub attracting...
Key US RegTech investment stats in Q2 2026:
US RegTech deal activity dropped 10% QoQ in Q2
California retained its position as the main...
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...
New SEC guidance on transaction-based compensation
For years, many industries have used separate business entities to receive compensation on behalf of independent contractors, often for tax reasons or administrative efficiency....