MyComplianceOffice Blog

The European Commission has published a report regarding the implementation of CSMAD - Criminal Sanctions for Market Abuse Directive.

The Directive aims to reinforce the market integrity and set rules for criminal sanctions for insider dealing, unlawful disclosure of inside information and market manipulation. It reflects the enforcement that the European Commission is doing to punish the most serious cases of market abuse and ensuring conformity with its provisions throughout the European Union.

On March 23, 2020, the following statement was released from Stephanie Avakian and Steven Peikin, Co-Directors of the SEC’s Division of Enforcement.

The COVID-19 pandemic has brought unprecedented circumstances to the financial services industry and the world around us.

Amy Lynch, CEO of FrontLine Compliance, joined the Human Capital Podcast on March 20 to provide insight on the regulatory impact of the pandemic, emergency relief measures and recent guidance  including Form ADV extensions, Fund Board meetings, Business Continuity Plans, and virtual exams.

We are relentlessly curious about how organizations deal with their Gifts and Entertainment rules and policy globally. Thinking about that and not finding enough insights, we ran a survey to understand everything we could about Gifts and Entertainment Policy and Compliance trends.

It’s International Women’s Day this March 8th and the theme for this year's celebrations is #ChooseToChallenge with the idea that we can all choose to challenge and call out gender bias and inequality. Similarly to last year #EachforEqual call out for women to collectively help on the fight for women's rights, challenge stereotypes and celebrate women’s achievements. 

Thinking about the challenges that female professionals face in our industry we decided to touch point on a subject that was the focus of a study in the US and Europe, focusing on women's achievements and their potential for progression in compliance.