Too Many Firms Still Track Employee Registration Compliance Manually Tracking employee compliance credentials including licensing, registrations and continuing... READ MORE
Fit for Purpose – Consumer Duty Compliance Remains a FCA Priority It's been almost one year the Consumer Duty came into force, setting higher and clearer standards... READ MORE
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
