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Blog Archive

News, updates and analysis from around the world of compliance

In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…

The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many…

A new Q&A on the PRIIPs KID has just been released from ESMA. View it here. Some key updates include:…