Tag: SEC

With regulatory fines for inadequate eComms surveillance soaring in 2024, eflow Global has introduced an upgraded version of its AI-driven platform, TZEC.

In recent years, off-channel communications have come under the intense scrutiny of regulators like the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). This scrutiny is largely due to the risks these unmonitored communications pose, ranging from compliance issues to gaps in record-keeping that can affect investor protection.

The SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, imposing staggering penalties exceeding $2.5bn.

The UK Financial Conduct Authority (FCA) has published a policy statement confirming the final rules under the Sustainability Disclosure Requirements (SDR) and investment labels...

On March 6, 2024, the Securities and Exchange Commission (SEC) announced the completion of the highly anticipated climate disclosure rule.

In an era where regulatory oversight of the wealth and asset management sector is intensifying globally, the stakes for compliance have never been higher. This sector, pivotal to national economies, plays a crucial role in helping consumers manage their assets and achieve their financial goals. However, its significance also makes it a potential target for misuse by malicious entities aiming to launder money.

The U.S. Securities and Exchange Commission (SEC) has recently made significant adjustments to its regulatory framework, introducing two pivotal rules, Rules 3a5-4 and 3a44-2, collectively known as the Final Rules.

The dawn of a new era in corporate transparency has arrived with the U.S. SEC introducing a pivotal rule.

The world of finance is on the brink of a significant transformation, especially for investment advisors in the United States. On February 15th, 2024, a pivotal announcement was made by the Financial Crimes Enforcement Network (FinCEN) that is set to redefine the landscape of anti-money laundering (AML) and counter-financing of terrorism (CFT) compliance.

The U.S. SEC has finalised its climate-related disclosure rules for public companies, a pivotal development in corporate sustainability reporting. According to ESG Today, this...