Understanding the murky waters of insider trading in financial markets.
An internal audit evaluates a company's internal controls, providing insights into risk management and operational efficiency.
A beacon of independent analysis in the murky waters of corporate finance.
Mechanisms implemented to ensure the integrity of financial and accounting operations within a company, safeguarding against fraud and promoting accountability.
The U.S. government agency responsible for tax collection and enforcement.
A vital U.S. law governing the conduct of investment advisers with the utmost fiduciary integrity.
Understanding jurisdiction risk in foreign operations and finance.
Learn about the KYC standard used in the investment industry to strengthen client relationships and regulatory compliance.
The MiFID is a vital piece of European financial regulation that aims to create transparency and standardization across financial markets.
A self-regulatory organization ensuring integrity in the U.S. futures and derivatives markets.
A Canadian database for filing registration forms electronically, simplifying the registration process for security dealers and investment advisors.
Negative Assurance in Audit and Financial Reporting
An independent advisor on a company's board.
Understanding Non-Issuer Transactions in the Securities Market
The Ontario Securities Commission is the largest securities regulator in Canada, tasked with administering and enforcing the province's securities laws.
A glimpse into the world of sophisticated investors ready to tackle futures and hedge funds!
A Registered Investment Advisor (RIA) is a fiduciary financial firm focused on providing investment advice tailored to clients' best interests. Here’s how they stack up in the financial world—RL-style! 😉
Regulatory Technology (RegTech) - Making Compliance Easier and More Fun!
Regulation B: fairness and protection in credit transactions.
An arrangement or deal between parties with a preexisting relationship, often scrutinized for potential conflicts of interest.
A legal shield against insider trading for corporate insiders. It allows predetermined stock sales while keeping regulators happy!
Schedule 13D is a form filed with the SEC that reports beneficial ownership of significant shares.
Detailed Overview of SEC Form ADV: An Essential Guide for Investment Advisers and Their Clients
