Better Conflicts of Interest Management for French Investment Banks French investment banks are facing increasingly complex regulatory expectations from the Autorité... READ MORE
Build or Buy: Make the Strategic Choice for Compliance Technology When evaluating compliance technology, firms face a fundamental decision: whether to build a... READ MORE
Now's the Time to Plan for FINRA Renewals Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps... READ MORE
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
