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.

Capula Investment Management’s former chief US compliance officer accused the hedge fund firm of wrongfully firing him for ...

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 ...

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 ...

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 ...

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 ...

WASHINGTON--(BUSINESS WIRE)--For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, ...

Investment underscores confidence in Avalara's leadership in agentic AI for tax and compliance automation ...

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 ...

Few investors are aware of the intricacies of the evolving $900 billion carbon marketplace and the unique investment opportunities that this area represents. The Head of Climate Strategy at ...