Pay to Play Compliance - Understand the Impact of Political Donations SEC Rule 206(4)-5, commonly known as the pay-to-play rule, along with FINRA Rule 2030 and FINRA... READ MORE
Ready for the Switch to FINRA APIs? We’ve Got You Covered! As FINRA phases out WebEFT, financial institutions face the daunting task of migrating to FINRA's... READ MORE
Smarter Ethics and Conduct Risk Management for the UAE The regulatory environment for financial institutions in the United Arab Emirates (UAE) region... READ MORE
Conviction of Former Judge Over Insider Trading in Japan The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4... READ MORE
AI & The Compliance Officer: Secret Weapon or Liability? The compliance landscape is shifting at warp speed. Gone are the days when compliance officers... READ MORE
Procurement to Prosecution: S$2.4m Bribery Scheme Exposed Singapore’s CPIB exposes a major corruption scheme funnelling millions through procurement fraud,... READ MORE
FINRA’s 2025 Oversight Report Highlights AML, OBAs & Third-Party Risk The Financial Industry Regulatory Authority (FINRA) has released its 2025 Annual Regulatory... READ MORE
SFC Market Sounding Guidelines: What Firms Need to Know Hong Kong’s market sounding regime is now more formalized. The Securities and Futures Commission’s... READ MORE
Learn From Compliance Violations to Understand Your Gaps Violations are a sensitive area for any firm. No one wants to deal with compliance issues. The... READ MORE
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