When it comes to regulatory exams, the question is not whether an exam will occur, but when. Whether you’re overdue for an SEC or FINRA exam or bracing for the first one, preparation is everything.

The rise of alternative investments is contributing to increased compliance considerations for some firms, leading to increased demand to centralize data infrastructure, automate filings, and leverage managed services.

In a move that surprised few but still raised eyebrows, the Financial Crimes Enforcement Network (FinCEN) has officially postponed the effective date of its long-anticipated Anti-Money Laundering (AML) rule.

A significant regulatory change is anticipated in the Canadian investment landscape, and many firms are still preparing.

In her Mansion House speech on 15 July 2025, Chancellor Rachel Reeves announced that the Financial Conduct Authority (FCA) will carry out a targeted review of the Consumer Duty, introduced in 2023.

The India-Middle East-Europe Economic Corridor (IMEC) is a major new trade and infrastructure initiative with the potential to reshape regional connectivity.

The EAA aims to make key digital products and services more accessible to people with disabilities.

In Part 1, we explored how poor data quality can lead to costly investment mistakes, the increasing role of market data in investment policy and how quality data transforms investment decision-making.

Ensuring your firm is prepared to meet complex regulatory requirements is essential.

On June 12, 2025, the SEC announced the formal withdrawal of 14 pending rule proposals dating back to the Gensler era.

As regulatory demands continue to grow, asset managers face increasing pressure to meet complex compliance requirements.

High-quality market data is foundational to sound investment decision-making in modern finance.