The Importance of Software for ESG Compliance Regulatory and investor expectations around Environmental, Social and Governance are quickly and... READ MORE
Mitigate Employee Insider Risk With Compliance Technology Insider dealing is a perennial concern for regulators around the globe. Agencies like the SEC, the... READ MORE
SEC Priorities Focus on MNPI, Insider Trading and Crypto Temperatures are hot across the United States right now – and so is U.S. Securities and Exchange... READ MORE
Take a Forward-Looking View to Manage Conflicts of Interest The days when firms could write off regulatory fines as the cost of doing business are long over.... READ MORE
Compliance Pitfalls for Newly Registered Investment Advisers The United States Securities and Exchange Commission's Division of Examinations Risk Alert:... READ MORE
Insider Trading in the Lead-Up to the Banking Crisis The stability of the global banking system is a top-of-mind concern for everyone right now. And as... READ MORE
Europe & UK Leading Crypto Regulation Europe has been at the forefront regarding crypto asset regulation with its recently approved... READ MORE
Change is the Theme at SIFMA Compliance & Law 2023 A consistent theme across sessions at the 2023 SIFMA Compliance and Law Annual Seminar was change.... READ MORE
Adopted SEC Rule 10b5-1 Amendments Increase MNPI Scrutiny The U.S. Securities and Exchange Commission adopted proposed amendments to Rule 10b5-1 to enhance... READ MORE
