SEC Focuses on MNPI and Code of Ethics Issues The SEC issued the Risk Alert Investment Adviser MNPI Compliance Issues to provide investment... READ MORE
MCO Announces Close of Schwab Compliance Technologies Acquisition New York, May 2, 2022: MCO (MyComplianceOffice), a global provider of conduct risk and compliance... READ MORE
The Compliance Challenges Firms Need to Tackle Conduct risk issues including employee compliance, transaction surveillance and third party risk... READ MORE
The SEC and the “RIC-ification” of Private Funds Have recent proposals foreshadowed a fundamental change to the regulation of private funds in the... READ MORE
The Importance of Compliance Management Compliance is a crucial business function for every large-scale and small-scale organisation. It is... READ MORE
SEC Examination Issues for Private Fund Advisers The Division of Examinations of the U.S. Securities and Exchange Commission recently released a... READ MORE
How Small Firms Can Benefit From Compliance Technology Every single firm, no matter how big or small, has to adhere to all the latest regulations,... READ MORE
Failure to Disclose Relationship Leads to a Public Crisis Failure to disclose connected persons and personal relationships as required by firm policies and... READ MORE
Hong Kong’s Regulator Fines Asian Bank Over Stock Trading Misconduct In January 2022, Hong Kong’s financial-markets regulator fined a large Asian Bank HK$348.25m... READ MORE
