The Smoke Signals of Regulatory Risk: Fit and Proper Persons Where there’s smoke, there’s fire. Licences and registrations act like a regulatory smoke detector... READ MORE
The Compliance Challenges of Ephemeral Messaging Financial services firms face growing compliance risks from the use of ephemeral messaging... READ MORE
What US–UK Tokenized Finance Alignment Means for Compliance On July 14, 2026, HM Treasury and the US Department of the Treasury published a ten-point roadmap... READ MORE
Personal Account Dealing: Policy on Paper, Risk in Practice Across the globe, compliance teams are writing personal account dealing (PAD) policies, circulating... READ MORE
Deal Room Compliance Controls in 2026 Every M&A deal, capital markets transaction, or restructuring engagement generates sensitive... READ MORE
What Makes Employee Crypto Trading Hard to Automate For financial services firms, monitoring employee trading in traditional securities has become a... READ MORE
MAR at 10: The Future of UK and EU Market Surveillance On 3 July 2016, the Market Abuse Regulation became applicable across the European Union. Ten years... READ MORE
The Digital Asset Regulatory Momentum in Hong Kong The Digital Asset Regulatory Momentum in Hong Kong Hong Kong's Securities and Futures Commission... READ MORE