SPACs, IPOs and Conduct Risk Special Purpose Acquisition Companies (SPACs) are a hot topic in the news right now—and an issue... READ MORE
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... READ MORE
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... READ MORE
An Overview of Conduct, Culture and Accountability Regimes The ASIFMA Compliance Week focused on various relevant topics for Compliance professionals, from... READ MORE
How To Meet FCA Reporting Requirements (and Avoid Regulatory Action) The Financial Conduct Authority (FCA) regulates over 58,000 financial services firms and financial... READ MORE
FCA Business Plan 2021/22 Focuses on ESG Risks and Market Abuse The UK Financial Conduct Authority (FCA) 's 2021-22 Business Plan was published on 15 July 2021 and... READ MORE
Cost of Compliance 2021 – Challenges and Change 2020 and 2021 have been eventful years, dominated by the COVID-19 pandemic and political and... READ MORE
Facing compliance system migration? Investigate the options! What happens when a software upgrade involves not just a few changes to your existing compliance... READ MORE
SEC’s Annual Agenda Includes Focus on ESG Disclosures The U.S. Securities and Exchange Commission (SEC) recently released its Annual Agenda for 2021. The... READ MORE
