New compliance solution maps 800+ federal and state mandates to each organization's workforce, replacing hours of manual research with a tailored program built to help reduce risk and fines COVINA, ...

Regulators say they will probe how advisors handle conflicts of interest and other aspects of their fiduciary duty.

WASHINGTON — Registered investment advisers are likely to outspend other financial intermediaries for compliance software, according to a recent report by Celent LLC, a Boston-based research and ...

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 ...

Rule 206(4)-7 under the Investment Advisers Act of 1940 (the “Act”) requires SEC registered investment advisers to adopt and implement written compliance policies and procedures. As a component of ...

The risks and benefits of using artificial intelligence (AI) to invest currently are a subject of intense debate. However, at the same time, firms are testing and implementing new ways to enhance ...

In the ever-evolving world of finance, compliance is king. Financial advisory firms, in particular, operate in a highly regulated environment where clients’ financial security is paramount. Financial ...

For the first time, artificial intelligence use is far and away the most common concern for compliance officers in the wealth management industry. Processing Content That was among the findings of the ...

After the killing of right-wing activist Charlie Kirk, many people were fired or disciplined after their personal posts drew attention, a reminder that whether on Facebook, LinkedIn or another ...