The 2025 SEAR Expansion: Implications for Covered Firms in Ireland Accountability in financial services regulation in Ireland has been reshaped by the Individual... READ MORE
The Compliance Challenges of Ephemeral Messaging Financial services organizations are subject to strict regulations that require the preservation of... READ MORE
The Impact of MiCA on Your AML/KYC Compliance Program The Markets in Crypto-Assets Regulation (MiCA) is now in force, and with it comes a profound shift... READ MORE
Keeping Policies and Compliance Current Amid Regulatory Change Compliance teams face an ongoing challenge: how to keep their policies and procedures current amid... READ MORE
FINRA Rule 3220: The Gifts Rule FINRA Rule 3220, also known as the Gifts Rule, prohibits the use of giving gifts and entertainment... READ MORE
Compliance Checklist for Registered Investment Advisers First and foremost, Registered Investment Advisers (RIAs) are held to a standard of fiduciary duty... READ MORE
Pay to Play Compliance - Understand the Impact of Political Donations SEC Rule 206(4)-5, commonly known as the pay-to-play rule, along with FINRA Rule 2030 and FINRA... READ MORE
Top Ten Reasons to Love MyComplianceOffice MyComplianceOffice is an innovative, cost-effective and easy-to-use platform that streamlines... READ MORE
Get the Message! Preserve eComms or Face Steep Regulatory Consequences Over the past few years, the SEC and CFTC have charged multiple Wall Street firms with widespread... READ MORE
