We’re specialists in financial regulation. Whether you need a partner to deliver regulatory change, support dealing with the regulator, help with day-to-day compliance, or simply peace of mind you’re on the right track, we’re here to help.
28 March 2024 | Americas
Since the implementation of the Dodd-Frank Act in 2010, private fund managers have seen the steady evolution of regulation governing their products. Alongside the recently proposed AML/CFT regulations, recent developments…
The SEC has taken action against two investment advisory firms, Delphia and Global Predictions, for false and misleading marketing statements around their use of AI. The action underscores a growing…
28 March 2024 | UK & Europe
The private equity and venture capital industry has been bracing itself for regulatory scrutiny when it comes to valuation. And it came in the FCA’s announcement of an impending multi-firm…
…of firms say that they don’t have enough time to review all regulatory developments properly
On average, a regulatory change needs to be interpreted and implemented every 12-minutes. RegTech can help ease this burden…