Compliance Insights

How to Manage Connected Persons and Personal Relationships

Compared with other industries, the financial services industry inherently has an elevated risk of...

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MAS Bans Payment for Order Flow (PFOF) from 1 April 2023

In late 2022, the Monetary Authority of Singapore (MAS) announced a complete ban on payment for...

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When Does Personal Trading Become Insider Trading in Finance Firms?

The preservation of healthy financial markets relies on having safe, properly regulated...

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How to Reduce Insider Trading Risk and Stay Compliant

Insider trading risk is not just a legal issue for individuals. It is a control issue for firms....

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Your SEC Examination Priorities Guide + the APAC Impact in 2023

For every registered firm with the SEC, it’s not a matter of if you’ll be examined but when....

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Outside Business Activity: Putting the Spotlight on Moonlighting

“Remember - NO TWO-TIMING - NO MOONLIGHTING”, reads a recent email from Infosys to its employees....

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The Evolution of Regulatory Compliance and Risk Management

The modern workplace has undergone a significant evolution in recent years. The pandemic has...

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Reducing Compliance Risk in Workplaces Across Southeast Asia

Southeast Asia is a region of diverse cultures, religions, and political frameworks that holds a...

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RegTech Adoption is the Way Forward for Better Compliance

I recently had the privilege of speaking on the sessionRegTech Adoption – The Way Forward at the...

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