New SM&CR changes reduce administrative burden but increase expectations on accountability, governance, and timely escalation.
Compliance Alert
Compliance, FCA, Governance, SM&CR
Discover why AI literacy is essential for investment advisers and how to manage the risks, governance needs, and oversight required for responsible adoption.
Article
Artificial Intelligence (AI), Investment Adviser, Regulatory Compliance, SEC
FCA 2026/27 priorities signal sharper supervision, stronger governance expectations, and increased scrutiny for firms.
Article
AML and Financial Crime, Consumer Duty, Market Abuse, SM&CR
Learn how investment advisers are using AI, what’s driving adoption, and the governance and compliance steps needed to manage risk responsibly.
Article
Artificial Intelligence (AI)
The SEC has proposed amendments requiring brokers and dealers to meet specific due diligence requirements before initiating or resuming quotations for equity securities, including crypto assets structured as equities, outside of national securities exchanges.
Compliance Alert
Broker-Dealer, SEC