Risk and Compliance Insights | Lisa Deschamp - Page 8 | MyComplianceOffice

Posts by Lisa Deschamp:

Hong-Kong-Regulator-Fines-Citigroup

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...

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A collection of blue and white graphs on a clipboard displays various bar and line charts, conveying data analysis and business growth visually.

Integrated Data Helps Manage Conduct Risk

During the webinar Conduct, Compliance and Ethics in Capital Markets, an executive panel with...

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Close-up view of the bases of large, white stone columns on the exterior of a classical-style building.

Insider Trading Leads to Criminal and Civil Penalties

A consulting firm partner who was advising a global bank on the acquisition of a FinTech loan...

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Black notebooks, eyeglasses, and a gift box with a red bow on a wooden desk.

Now’s the Time to Wrap Up Gifts & Entertainment Policies

It’s that time of year again! The end of the year brings opportunity for corporate gift giving and...

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Tablet displaying financial graph beside laptop and pen on desk.

SPACs, IPOs and Conduct Risk

Special Purpose Acquisition Companies (SPACs) are a hot topic in the news right now—and an issue...

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Employee-outside-business-activities

Scared That Your Employees Have Two Jobs?

Let’s talk about remote employees working at two jobs. Have you come across this before? A recent...

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Insider-Trading-Scandal-Germany

Insider Trading Scandal Shocks Germany's Asset Management Community

Last year, German police arrested a senior fund manager in Frankfurt for insider trading. The fund...

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Conduct-Culture-Accountability-Regimes

An Overview of Conduct, Culture and Accountability Regimes

The ASIFMA Compliance Week focused on various relevant topics for Compliance professionals, from...

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FCA-Reporting-Requirements

FCA Reporting Requirements: How Firms Can Stay Compliant

The Financial Conduct Authority (FCA) supervises numerous UK financial firms. To do so effectively,...

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