Regulation

The SEC has incentivized firms to self-report on off-channel violations. We look into the process and its benefits.

Key recordkeeping teakeaways from the 2024 FINRA Annual Regulatory Oversight Report.

The FCA's new Consumer Duty comes into force in 2023, and the deadline for businesses’ implementation plans was October 31st 2022. Read on to find out what steps you can take to ensure you’re compliant.

The regulatory technology (RegTech) sector is now growing at a pace of 19.5% annually. We take a look at three other industries (besides financial services) which are becoming increasingly regulated as time passes.

An analysis of the Executive Order on digital assets, its implementation process, and what it means from the perspective of regulatory compliance.

A compliance officer’s role, its evolution, the multitude of challenges which CCOs contend with on a daily basis, and how a role so notoriously demanding can be made more manageable.