In the past couple of years, the demand for advice on sanctions compliance has soared. This has mainly been triggered by the ...

However, in a podcast published by Finra, Gregg Ruppert, executive vice president and head of member supervision, says there ...

The U.S. Securities & Exchange Commission ("SEC") recently announced settled charges against an investment adviser for misrepresentations ...

K2 Integrity hosted a webinar that featured Justina Rousseau, senior managing director at K2 Integrity; Aseel Rabie, counsel ...

In India, SMEs must comply with regulatory guidelines that ensure customer data privacy and their own IT/OT security. These regulatory frameworks help protect sensitive customer information, secure ...

His appointment reflects Treliant's commitment to helping U.S. and global broker dealers, investment advisers, and asset management clients mitigate regulatory risk and streamline compliance.

BlackRock’s wealth management platform, Aladdin Wealth, has integrated technology from Zurich-based fintech Investment ...

Compliance is a critical factor that ensures their investments are safe, transparent, and profitable. By emphasizing the importance of compliance, you can impress potential investors by demonstrating ...