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Compliance & Regulation

Christian David headshot
The rapid adoption of AI technologies is redefining the role of the CFO, changing how they tackle everything from compliance to investor relations, writes Christian Davis, associate partner at commercial data solutions provider JMAN Group.
The investment advisory committee didn’t make any final recommendations, but new openings forecasted
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
Securitize co-founder and president says the company is 'ecstatic' about the nomination.
Forum attendees stress that co-ordination between departments is crucial.
Michael Marshall, RailPen
ESG and compliance are 'two separate goals' and should not be conflated, Railpen's Michael Marshall said on stage at a Responsible Investment Forum in London.
Firms are using AI to review marketing materials and legal docs, manage compliance tasks and assist with risk management.
Reviews aren’t just to satisfy regulators, said panelists at Private Funds CFO’s Compliance Operations Forum.
Handshake
'We just need to understand and find a reason to give the money,' university fund manager says at Private Funds CFO's Compliance Operations Forum.
‘Regulatory risk has definitely climbed in terms of order of importance,’ says Dykema partner Eric White.
A red briefcase with 'budget' and 'HM Treasury' written on it in gold
The industry has reached a compromise on carried interest, with a tax rate of 32% commencing from April 2025.
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