Compliance Insights

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...

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Keeping Policies and Compliance Current Amid Regulatory Change

Compliance teams face an ongoing challenge: how to keep their policies and procedures current amid...

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FINRA Rule 3220: The Gifts Rule

FINRA Rule 3220, also known as the Gifts Rule, prohibits the use of giving gifts and entertainment...

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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...

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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...

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SEC Examination Priorities Provide a Roadmap for 2025 Compliance

The US Securities and Exchange Commission has published its rundown of Examination Priorities for...

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Mitigate Risk During the Gift-Giving Season and Beyond

The holiday season will be here before we know it! And that means gifts and entertainment...

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Top Ten Reasons Why We Love Compliance Officers

In honor of National Compliance Officer's Day, we wanted to share the many reasons why we love...

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Challenges of Compliance Monitoring for Smaller Firms

Staying on top of the latest regulatory developments in the financial services industry to maintain...

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