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Tag: U.S. Securities and Exchange Commission
How digital asset firms can modernise compliance from day one
Crypto is no longer operating at the edge of the financial system. As digital assets push further into the mainstream, regulators are tightening expectations...
Regulatory risks of continuation funds: navigating compliance challenges
High interest rates, market volatility, and broader macroeconomic factors are driving asset managers to adapt their investment strategies, seek liquidity for investors, and deploy capital into attractive assets.
Unlocking the implications of SEC’s newly adopted cyber rules on FinTech
After over a year of deliberations, the US SEC has finally adopted the proposed rules for enhanced cyber disclosures.
Theta Lake unveils 17a-4 compliant archiving tool for collaboration platforms
Theta Lake, the RegTech company, has announced the industry’s first free SEC Rule 17a-4 compliant archive designed for collaboration platforms such as RingCentral, Microsoft...
