Smarter Ethics and Conduct Risk Management for GCC The regulatory environment for financial institutions in the GCC (Gulf Cooperation Council) region... READ MORE
Conviction of Former Judge Over Insider Trading in Japan The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4... READ MORE
AI & The Compliance Officer: Secret Weapon or Liability? The compliance landscape is shifting at warp speed. Gone are the days when compliance officers... READ MORE
Managing Insider Information is the Key to Managing Trading Risk Employees who work at firms in the financial services industry are privy to sensitive information... READ MORE
Ready for the Switch to FINRA APIs? We’ve Got You Covered! As FINRA phases out WebEFT, financial institutions face the daunting task of migrating to FINRA's... READ MORE
Procurement to Prosecution: S$2.4m Bribery Scheme Exposed Singapore’s CPIB exposes a major corruption scheme funnelling millions through procurement fraud,... READ MORE
Top Ten Reasons to Love MyComplianceOffice MyComplianceOffice is an innovative, cost-effective and easy-to-use platform that streamlines... READ MORE
FINRA’s 2025 Oversight Report Highlights AML, OBAs & Third-Party Risk The Financial Industry Regulatory Authority (FINRA) has released its 2025 Annual Regulatory... READ MORE
Insider List and Information Management under MAR The European Market Abuse Regulations (MAR) have been in effect since July of 2016. Regulatory... READ MORE
