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.

RIAs have become a prime target for cybercriminals due to the sensitivity of data they hold and the value of assets they manage. If successful, a cyberattack often results in devastating losses not ...

Communications such as using personal texts with clients topped the marketing rule as the ‘hottest’ SEC regulatory concern for investment advisories. Communication done outside of work channels is the ...

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 ...

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 ...

STP Investment Services (STP), a global provider of technology-enabled investment operations, fund administration, and compliance solutions, today announced the expansion of its ComplianceAdvisor ...

WEST CHESTER, Pa.--(BUSINESS WIRE)--STP Investment Services (STP), a leading global provider of technology-enabled, end-to-end investment servicing solutions, announces the addition of several senior ...

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 ...