Compliance Checklist for Registered Investment Advisers First and foremost, Registered Investment Advisers (RIAs) are held to a standard of fiduciary duty... READ MORE
FINRA Priorities Include Conflicts of Interest, AI and Financial Crime The 2026 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from... READ MORE
Risk Assessments and Controls: FCA Insight on Good and Poor Practices In November 2025, the UK Financial Conduct Authority (FCA) published findings from a multi-firm... READ MORE
SEC Examination Priorities Provide a Roadmap for 2026 Compliance The US Securities and Exchange Commission Division of Examinations has published its rundown of... READ MORE
Compliance Software for the Financial Control Room Managing a financial trading control room involves balancing a wide variety of tasks. To comply... READ MORE
A Tale of Just Right Compliance Technology Once upon a time, there was a company that was looking to purchase compliance software. The... READ MORE
Using Apple iMessage at Work: Balancing Productivity and Compliance When the first iPhone launched in 2007, it redefined mobile communication. Today, Apple dominates... READ MORE
Optimal Outside Business Activities Compliance Goes Beyond Disclosures It’s 4PM on a Friday. You were hoping to wrap up for the day to start your weekend, but there’s a... READ MORE
Better Conflicts of Interest Management for French Investment Banks French investment banks are facing increasingly complex regulatory expectations from the Autorité... READ MORE
