Preparing for Markets in Crypto-Assets Regulation (MiCA) The Markets in Crypto-Assets Regulation (MiCA) institutes uniform regulations for crypto-assets... READ MORE
Streamline Employee Attestations and Certifications Financial services firms are among the most heavily regulated organizations worldwide. From the FCA... READ MORE
Infographic: Personal Account Dealing Compliance Personal Account Dealing, when employees gain personal profit from inside information or other data... READ MORE
The SEC Speaks About Off-Channel Communications, Disclosures and More Presented by the Practising Law Institute in conjunction with the U.S. Securities and Exchange... READ MORE
A Guide to Global Regulators Covering Communications Surveillance U.S. Securities and Exchange Commission (SEC) enforcement for failure to maintain and preserve... READ MORE
A Tale of Just Right Compliance Technology Once upon a time, there was a company that was looking to purchase compliance software. The... READ MORE
Benchmark Your Trade and Communications Surveillance Program The 2024 Surveillance Benchmarking Survey & Report from 1LoD, co-sponsored by MCO, contains... READ MORE
Compliance Software for the Financial Control Room Managing a financial trading control room involves balancing a wide variety of tasks. To comply... READ MORE
Navigating Pay-To-Play Compliance in an Election Year and Beyond The 2024 U.S. Presidential election is grabbing the headlines right now. However, 469 other federal... READ MORE
