Compliance

U.K. regulator flames firm’s finfluencer efforts

Paid ads on social media put vulnerable customers at risk, FCA says

By James Langton |February 11, 2022

2 min read

What’s new in wealth tech?

Fintech partners are helping advisors manage investments, planning and compliance

By Daniel Calabretta |February 4, 2022

3 min read

ESMA to examine funds’ valuation practices

European regulators will focus on fund managers that invest in illiquid assets

By James Langton |January 20, 2022

1 min read

As CFRs loom, IIROC offers guidance

The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed

By James Langton |December 17, 2021

2 min read