financial compliance

Morningstar and PitchBook have taken a decisive step into the agentic AI era by launching Model Context Protocol (MCP)–based apps inside ChatGPT, enabling licensed users to query proprietary public- and private-market data and analyst research through natural-language prompts without leaving the...

In an industry where compliance and security often make the difference between growth and liability, IFC Advisors’ recent shift to AdvisorVault’s 17a-4 Managed 365 Service® represents a case study in the evolving landscape of financial services technology. As the regulatory environment grows...

In the evolving realm of financial compliance, the pressure on regulated firms to maintain digital records in secure, accessible, and compliant ways has never been more intense. This is especially true for boutique investment banks, registered investment advisors (RIAs), hedge funds, and private...

In the ever-evolving world of financial compliance, the story of IFC Advisors’ transition to AdvisorVault’s 17a-4 Managed 365 Service® stands as both a cautionary tale and a forward-looking roadmap for broker-dealers navigating digital transformation in the Microsoft Cloud. Based in Los Angeles...

For investment firms operating under the watchful gaze of regulatory bodies, compliance is an exacting, ever-shifting challenge—one that demands both technological adaptability and rigorous adherence to protocols. For Los Angeles-based IFC Advisors, this challenge reached a breaking point when...

In a strategic move to bolster its compliance infrastructure, IFC Advisors has selected AdvisorVault's 17a-4 Managed 365 Service to ensure adherence to the Financial Industry Regulatory Authority's (FINRA) stringent electronic recordkeeping requirements. This decision underscores the growing...

In a significant move to bolster regulatory compliance and data security, IFC Advisors has adopted AdvisorVault's 17a-4 Managed 365 Service. This strategic decision underscores the firm's commitment to adhering to the Financial Industry Regulatory Authority's (FINRA) stringent electronic records...

Microsoft’s latest strategic partnership is reshaping the intersection of enterprise technology and blockchain, signaling a bold move that could redefine how global organizations utilize real-time blockchain insights. The announcement of Microsoft’s collaboration with Space and Time Labs (SXT)...

In a significant move to enhance regulatory compliance in content creation, Saifr®, a RegTech incubated by Fidelity Labs, has partnered with Microsoft to integrate its advanced AI models into the Microsoft Azure AI model catalog. This collaboration aims to streamline the development of compliant...

A revolution is quietly unfolding at the intersection of financial compliance and artificial intelligence, promising not only to lighten the regulatory load on enterprises but also to reshape how organizations manage risk, scale oversight efforts, and automate adherence to evolving rules. Saifr...

AdvisorVault has recently unveiled a significant strategic upgrade: the integration of Microsoft 365 into their 17a-4 D3P service. This move isn’t just a simple software add-on—it’s a comprehensive cloud transformation designed to help small financial firms meet stringent FINRA electronic record...

In a groundbreaking move that could redefine the banking landscape, Diebold Nixdorf has become the first ATM solution provider to implement Microsoft's Windows 11 on live ATMs, specifically the Windows 11 IoT Enterprise LTSC 2024 edition. This pivotal deployment works in tandem with two bank...