Regulatory Expectations Demand the Latest SaaS Compliance Technology A while back “build vs. buy” was a hot topic when firms were looking to implement new or updated... 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
FCA's Dear CEO Letter Puts Focus on Personal Trading and Market Abuse On 11 January 2023, the Financial Conduct Authority (FCA) published a "Dear CEO" letter to... READ MORE
2023 FINRA Exam Report Includes New Financial Crime Risks The 2023 Report on FINRA’s Examination and Risk Monitoring Program provides firms with insight into... READ MORE
Investment in Proven Fintech and RegTech Pays Off The Thomson Reuters® Regulatory Intelligence survey and report Fintech, RegTech, and the role of... READ MORE
Record SEC Enforcement in 2022 Brings Steep Penalties for Misconduct U.S. Securities and Exchange Commission Chair Gary Gensler said in a speech to the Practicing Law... READ MORE
MCO Wins the Scale Up Award at the Deloitte Technology Fast 50 Ireland Global conduct risk and compliance technology provider MyComplianceOffice (MCO) has placed in the... READ MORE
PRA’s Dear CEO Letter Puts the Focus on Governance and Control It’s been just about a year since the Bank of England’s Prudential Regulation Authority (PRA)... READ MORE
