Now's the Time to Plan for FINRA Renewals Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps... READ MORE
A Guide to Financial Services Regulators and Compliance Regulations in the Middle East Compliance requirements across the Middle East continue to expand in scope and complexity for banks... READ MORE
The Age of AI and the New Frontier of Conflicts of Interest Let’s not sugar-coat it: we’ve entered an era where code makes the calls. Decisions that move... READ MORE
Managing Insider Information is the Key to Managing Trading Risk Employees who work at firms in the financial services industry are privy to sensitive information... READ MORE
Financial Compliance Over Coffee: Takeaways for APAC Firms Financial compliance teams in APAC face continued regulatory pressure across employee conflicts of... READ MORE
UAE Compliance Crackdown: The Implications of Increasing Enforcement In 2025, the Central Bank of the UAE (CBUAE) launched one of its most aggressive enforcement... READ MORE
The 2025 SEAR Expansion: Implications for Covered Firms in Ireland Accountability in financial services regulation in Ireland has been reshaped by the Individual... READ MORE
eComms in the FCA’s Regulatory Spotlight: the APAC Impacts The UK’s Financial Conduct Authority (FCA) has released its findings on firms’ management of... READ MORE
FCA Multi-Firm Review Highlights Risks in Off-Channel Communications The Financial Conduct Authority (FCA) has published the findings of a multi-firm review into how... READ MORE
