Optimal Outside Business Activities Compliance Goes Beyond Disclosures It’s 4PM on a Friday. You were hoping to wrap up for the day to start your weekend, but there’s a... 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
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
Investment in Proven Fintech and RegTech Pays Off The Thomson Reuters® Regulatory Intelligence survey and report Fintech, RegTech, and the role of... READ MORE
