No-Deal Brexit Would Bring Major Compliance Changes The U.K and the European Union (EU) are bracing for the likelihood of a “no-deal” Brexit. READ MORE
FCA Urges Senior Managers to Look on Bright Side of SMCR Jonathon Davidson, executive director of supervision, retail and authorizations for the Financial... READ MORE
Making G&E Compliance Faster & More Cost-Effective The CEO of any financial firm will tell you regulatory compliance is one of their organization’s... READ MORE
5 tips to create a high impact compliance program What makes a high impact compliance program? Given the state of many corporate compliance programs,... READ MORE
2019 One of the Busiest Years for FCPA Enforcement The month of June ended what has been one of the most active half-years in Foreign Corrupt... READ MORE
New Bill Seeks Clarity on Insider Trading Law On May 7, 2019, U.S. Representative James Himes (D-Conn) introduced the “Insider Trading... READ MORE
Corporations Stand to Benefit from Adequate Procedures The Department of Justice (DOJ) has provided updated guidance for prosecutors evaluating corporate... READ MORE
U.S. Department of Justice's New Guidance Centers on Three Questions The DOJ has served notice it will require clear answers to these three questions during future... READ MORE
The Clock is Ticking on SMCR Compliance UK firms have less than six months left to ensure they comply with the new Senior Managers and... READ MORE
