We believe approval processes shouldn’t stand in the way of creating exciting campaigns or publishing new content. To help you improve efficiency, compliance, and ensure a speedy sign-off, we’ve created a financial promotion approval checklist.
Asset management firms have recognised the need to embrace technology with billions being spent as a result. In a real case of ‘evolve or die’, asset management finds itself in a new era: the rise of the CTO.
In this guide, we will define website archiving, its common misconceptions and explore the benefits it's bringing dfferent sectors when it comes to compliance, brand preservation and digital oversight.
Could Brexit bring MiFID III with it? In this in-depth report, we spoke with industry experts and analysed why this is a very real prospect (and what you need to keep in mind).
If GDPR (and the Cambridge Analytica scandal) has taught us anything, it’s that data and an individual's rights in relation to it, cannot be ignored.
The Senior Managers & Certification Regime (SM&CR) is a time-sensitive piece of regulation that's a little different to the regulatory tsunami that preceded it. But, how exactly?
The requirements under SEC Rules 17a-3 and 17a-4 are particularly high, with the regulator demanding extensive records of all trades carried out by broker/dealers.