Regulatory trends and high-profile investigations suggest that law firms should conduct enhanced due diligence background checks on all potential clients as part of standard risk management and ...

On April 24, 2024, the European Parliament approved the Corporate Sustainability Due Diligence Directive (CS3D). The directive, which must be formally endorsed by the Council of the European Union (EU ...

Fidelity Brokerage Services has been sued by Massachusetts regulators for alleged "unethical and dishonest" conduct in its supervision of retail brokerage customer applications for options and margins ...

I can tell clients everything they need to know about a portfolio with Advisor Workstation. Any question they ask, I have the answer. The Client Focused Reforms regulation has been pushing advisors ...

JPMorgan Chase clients looking to invest or conduct activities in the Amazon biome will now be subject to enhanced due diligence reviews, according to the bank’s most recent sustainability report ...

In professional services, trust and discretion are vital, especially in PR and media relations. Firms must carefully assess potential conflicts before engaging with the media, such as referencing ...

Authorized Assessor Program, a new initiative that provides standardized and streamlined diligence services for Interactive Advertising Bureau members. The initiative is launching with the technology ...

As demand within the financial services and wealth management industry increases and client expectations continue to evolve, C-level executives and advisors have turned to third-party service ...

Critics of a fiduciary standard for stockbrokers beware: A study released in early March suggests that application of a fiduciary standard to the broker/dealer model wouldn’t have the terrible ...

The stage of acquisition known as due diligence is the deep-dive part of the process: a scrupulous reality check that takes place between the buyer’s submission of a letter of intent (LOI) to acquire ...