Hadrius, the AI-powered Compliance OS for SEC- and FINRA-regulated firms, today announced a technology partnership with Silver Regulatory Associates (Silver), a leading provider of regulatory ...

Despite the continued rise in regulatory expectations, expenditure on compliance operations has decreased compared to 2023, as has investment in RegTech, according to a recent report by SteelEye.

Geopolitical instability and a general focus on increasing growth and productivity by governments worldwide are causing a ...

Capula Investment Management’s former chief US compliance officer accused the hedge fund firm of wrongfully firing him for raising concerns about the expensing of artwork and private jet travel as ...

RIAs have become a prime target for cybercriminals due to the sensitivity of data they hold and the value of assets they manage. If successful, a cyberattack often results in devastating losses not ...

Our Financial Services, Investment Funds, and White Collar, Government & Internal Investigations Teams break down the latest Financial Crimes Enforcement Network (FinCEN) rule investment advisers must ...

On August 28, 2024, Financial Crimes Enforcement Network (FinCEN) issued a final rule (the “Final Rule”) that imposes comprehensive anti-money laundering and countering the financing of terrorism ...

Filing compliance solutions help RIAs manage and automate regulatory tasks. From ADV filings and compliance calendars to document storage and audit preparation, these platforms ensure that firms meet ...

Communications such as using personal texts with clients topped the marketing rule as the ‘hottest’ SEC regulatory concern for investment advisories. Communication done outside of work channels is the ...

WEST CHESTER, Pa.--(BUSINESS WIRE)--STP Investment Services (STP), a leading global provider of technology-enabled, end-to-end investment servicing solutions, announces the addition of several senior ...

STP Investment Services (STP), a global provider of technology-enabled investment operations, fund administration, and compliance solutions, today announced the expansion of its ComplianceAdvisor ...

The State Board of Administration of Florida (SBA) is the investment organization managing the assets of the Florida Retirement System (FRS) and other funds. With more than $200 billion in total ...