A Guide to Global Regulators Covering Communications Surveillance Electronic communications compliance is a global regulatory priority. Authorities in the U.S.,... READ MORE
Insider List and Information Management Under MAR In effect since July of 2016, the European Market Abuse Regulations (MAR) are EU regulations... READ MORE
4 Conflicts of Interest Examples (and Solutions) Across APAC A conflict of interest happens in financial firms when an employee, executive, or director has... READ MORE
FINRA’s New Outside Activity Rule: What the Changes Mean for Compliance On January 29, 2026, FINRA filed proposed Rule 3290 with the U.S. Securities and Exchange... READ MORE
MNPI Remains a High Risk Area for Compliance Failing to adequately manage Material Non-Public Information (MNPI) remains a high-risk area for... READ MORE
Fund Manager Gets 6 Years' Jail: ASIC Insider Trading Case The Federal Court in Sydney has sentenced a former investment manager for an ASX-listed asset... READ MORE
Crypto Regulation Compliance Investment in crypto and digital assets is mainstream. What was once considered niche and emerging... READ MORE
Employee Conflicts of Interest: APAC Financial Firm Best Practices Financial services firms face an elevated risk of conflicts of interest, largely due to the... READ MORE
VARA and Virtual Asset Regulation Compliance in Dubai The Virtual Assets Regulatory Authority (VARA) is Dubai's dedicated regulator for virtual assets... READ MORE
