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.

Steward, an AI compliance platform managing $100B in assets, has raised $5M to automate KYC and AML processes for investment firms.

Keeping on the right side of regulators is the life blood of investment advisor firms’ compliance officers, but what specifically is on their minds right now? Top of the list is the SEC’s Marketing ...

The SEC announced six common compliance deficiencies of registered investment advisers. The SEC guidance is consistent with existing economic sanctions and anti-corruption compliance program best ...

Filing compliance solutions help RIAs manage and automate regulatory tasks. From ADV filings and compliance calendars to document storage and audit preparation, these platforms ensure that firms meet ...

Compliance teams are facing escalating pressures driven by greater regulatory scrutiny and macroeconomic challenges, according to the 2024 Annual Compliance Health Check Report from SteelEye, the firm ...

Assent Compliance Inc, an Ottawa-based provider of supply chain sustainability management solutions, has raised $350 million in funding. Vista Equity Partners was the lead investor. Assent is backed ...

AND just as important to your firm - getting investment compliance right is a competitive advantage. Does your investment compliance program have the flexibility to face these new process and ...

It is important for registered investment advisers to determine if the correct workers – regardless of employee or consultant labels — have been designated as Access Persons. Many investment advisers ...

Boards and C-suites are considering whether to incorporate previously “uninvestable” Venezuela into their plans. Matteson Ellis and Collmann Griffin of ...