Suitability and related regulations have grown in scope and impact in the Americas. New regulatory guidelines and requirements that further protect consumers and provide
The NICE Actimize Blog is a series of opinion and news analysis articles addressing global issues in financial crime and capital markets compliance. The Actimize FMC team blogs about the latest issues relating to global financial markets and compliance.
Decrypting the FINRA Report: Your Guide to 2024 Compliance Priorities
The Financial Industry Regulatory Authority (FINRA) has cast its net again, releasing its comprehensive 2024 Annual Regulatory Oversight Report. This document serves as a
A Guide for Wealth Management and Stockbroking Firms
In the complex and dynamic world of wealth management and stockbroking, firms play a critical role in guiding individuals and families towards financial well-being.
The FCA’s Consumer Duty: A “Catch-All” with Flaws
The Financial Conduct Authority (FCA) is preparing for the implementation of the Consumer Duty regulation.
FINRA Conference 2023: Well-Rounded, Well-Attended and Worthwhile
Industry leaders and experts converged in Washington DC at the Financial Industry Regulatory Authority (FINRA) conference recently to discuss the latest developments and challenges