Keyword: Compliance

308 results found
female advisor with laptop

How to protect yourself from risks of insider trading

compliance puzzle

Direct access, client identifiers and AI top the list

Special Report on Technology 2020

Firms also can use technology to facilitate client onboarding and to make client reporting more engaging and interactive

Business lawyer team. Working together of lawyer in the meeting.

New compliance targets have emerged from the SRO's data analysis efforts

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Machine learning and data analytics will play growing roles in helping regulators find wrongdoing

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ShelfMonitor scans for changes to investment products

  • By: IE Staff
  • January 14, 2020 January 14, 2020
  • 12:02
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Why KYC updates have never been more important to your success

Female tax inspector looking at corporate financial documents with magnifying glass

Retail investor issues, as well as registered investment advisors, will be under scrutiny

Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Investor protection and industry innovation highlight the SRO's compliance priorities

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You can minimize compliance risk by keeping thorough, up-to-date records