Better Conflicts of Interest Management for French Investment Banks French investment banks are facing increasingly complex regulatory expectations from the Autorité... READ MORE
Hong Kong’s SFC Sets a Measured Path for Virtual Asset Trading Hong Kong’s Securities and Futures Commission (SFC) has set out a well-defined and disciplined path... READ MORE
24/7 Compliance Requires Always-On Policy Guidance Compliance programs do not fail because policies do not exist. They fail when employees cannot... READ MORE
Australia: Defining the Next Phase of Crypto Regulation Australia is moving from a principles-based approach to a defined regulatory framework for digital... READ MORE
BaFin Record-Keeping Requirements for Financial Services Firms Germany's Federal Financial Supervisory Authority, the Bundesanstalt für... READ MORE
A Costly Oversight: Hong Kong SFC Action on Personal Trading On 09 April 2026, Hong Kong’s Securities and Futures Commission (SFC) announced its sanctions of a... READ MORE
Singapore: Setting the Standard for Clear Crypto Regulation Singapore has taken a deliberate, structured approach to digital asset regulation. Instead of... READ MORE
Employee Personal Trade Capture: Best Practices for Compliance Effective personal trading compliance depends on more than employee preclearances. At a minimum,... READ MORE
Hong Kong: SFC Enforcement Highlights Trading Oversight Gaps Hong Kong’s Securities and Futures Commission (SFC) has taken enforcement action against the... READ MORE
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