Originally posted to Nasdaq.com – In a constantly shifting business landscape driven by hyper-competition and accelerating rates of change, company managements from small boutique firms to large enterprises increasingly are realizing that […]

Originally posted to BusinessWire – KNOXVILLE, Tenn.–(BUSINESS WIRE)–Smartria, a powerful, easy-to-use cloud-based software solution designed to meet the specialized compliance management needs of investment advisors, compliance teams, operations teams, consultants and attorneys, […]

SEC investigation will become quicker, according to its chair. According to a recent Reuters report SEC head Gary Gensler wants to “cut back” on meetings during which company executives and attorneys can […]

The pandemic has accelerated fintech adoption, according to this recent column in Forbes and a report from the World Bank. “The study, which gathered data from 1,385 FinTech firms in 169 jurisdictions […]

As reported by Thinkadvisor.com A Colorado woman defrauded investors in a Ponzi-like scheme, according to a complaint filed by the SEC in October. The SEC has ordered the investment advisor, Ann Vick, […]