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Compliance & Regulation

Christian David headshot
As AI becomes more common and accessible, investors have started to incorporate it into every aspect of their investment thesis – from portfolio construction to risk management. To that end, PwC has estimated that assets managed by algorithm-driven and AI-enabled digital platforms will surge to almost $6 trillion over the next three years, which is […]
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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