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
FCA's 2022-2025 Strategy Focuses on Data, Conduct Risk and Outcomes The U.K. Financial Conduct Authority (FCA) has released its three-year strategy for 2022-2025. The... READ MORE
Technology Gives Firms a Better Handle on Managing Digital Asset Risk Regulated digital assets might sound like an oxymoron given that cryptocurrency was developed as an... READ MORE
FCA Fines Asset Management Firm and Employee for Conflicts of Interest The UK Financial Conduct Authority (FCA) has clearly set expectations to ensure that asset managers... READ MORE
