Compliance Insights

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

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

SEC Bulletin Highlights Need for Effective Conflicts Management

The U.S. Securities and Exchange Commission (SEC) recently released the staff bulletin Standards of...

READ MORE

SEC Announces Spring 2022 Regulatory Agenda

The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2022 Unified...

READ MORE