This office functions within the Financial Affairs subdivision and supports the University's financial compliance and internal control environment. Financial Compliance will work on the following ...

A growing number of financial advisors have been leaving their broker-dealer (BD) firms to start or join a registered investment advisor (RIA), an annual industry analysis has found. The study noted ...

Financial services institutions must contend with a never-ending barrage of regulatory compliance requirements, which can vary by location. Technology, and especially artificial intelligence, can help ...

Compliance regulations are constantly evolving, and nowhere is this more critical than in the financial services industry. Financial institutions face high stakes when it comes to compliance; failure ...

Financial institutions worldwide are under mounting pressure to strengthen cybersecurity measures as new regulations aim to curb rising threats. In the United States, the Securities and Exchange ...

As the financial services industry undergoes constant change, managing the complexities of compliance presents a challenge. Compliance teams are overwhelmed with many regulations, each with unique ...

On 9 October 2024, the U.S. Department of Commerce’s Bureau of Industry and Security (BIS) published its first ever unilateral guidance specifically addressed to financial institutions (FIs).[1] The ...

On Tuesday, March 25, members of BakerHostetler’s Digital Assets and Data Management (DADM) Practice Group served up a flavorful presentation, “Cooking Up ...

The amendment deletes an existing regulation and makes a corresponding change in the Second Schedule. This clarifies which ...

This event is now available on-demand. If you have previously registered for this event please click here and login using the email that you used to register. Sponsored by: AI-powered tools like ...

By Patrick Botchwey Small and medium-sized enterprises (SMEs account for over 90% of businesses and 60–70% of employment ...

SEBI introduces 2026 stockbroker regulations, simplifying rules, easing compliance, enabling joint inspections, and removing outdated provisions for smoother business operations.