Keeping on the right side of regulators is the life blood of investment advisor firms’ compliance officers, but what specifically is on their minds right now? Top of the list is the SEC’s Marketing ...

Communications such as using personal texts with clients topped the marketing rule as the ‘hottest’ SEC regulatory concern for investment advisories. Communication done outside of work channels is the ...

For the sixth year in a row, cybersecurity has been the biggest compliance concern at registered investment adviser (RIA) firms, according to the 2019 Investment Management Compliance Testing Survey, ...

RIAs face stringent regulations and procedures to ensure that they’re acting in the best interests of investors. Meeting these requirements, however, can take up a huge chunk of the time that they ...

For the first time, artificial intelligence use is far and away the most common concern for compliance officers in the wealth management industry. Processing Content That was among the findings of the ...

Morgan Stanley Direct Lending Fund ( ($MSDL) ) has issued an announcement. On December 22, 2025, Morgan Stanley Direct Lending Fund announced that ...

Only 5% of respondents in a recent Investment Adviser Association survey said they’d increased their use of testimonials after complying with the Securities and Exchange Commission’s marketing rule.

WASHINGTON--(BUSINESS WIRE)--For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, ...

The partnership integrates BridgeFT's WealthTech API—a custodian-agnostic, cloud-native data infrastructure—with Hadrius' compliance engine, eliminating manual file transfers, CSV exports, and ...

WEST CHESTER, Pa.--(BUSINESS WIRE)--STP Investment Services (STP), a leading global provider of technology-enabled, end-to-end investment servicing solutions, announces the addition of several senior ...