Insider Trading in the Lead-Up to the Banking Crisis The stability of the global banking system is a top-of-mind concern for everyone right now. And as... READ MORE
Europe & UK Leading Crypto Regulation Europe has been at the forefront regarding crypto asset regulation with its recently approved... READ MORE
Hong Kong ICAC Releases Anti-Corruption Guide for Banking Industry Hong Kong has become one of the most corruption-free nations in the world. The Transparency... READ MORE
Regulatory Expectations Demand the Latest SaaS Compliance Technology A while back “build vs. buy” was a hot topic when firms were looking to implement new or updated... READ MORE
Change is the Theme at SIFMA Compliance & Law 2023 A consistent theme across sessions at the 2023 SIFMA Compliance and Law Annual Seminar was change.... READ MORE
Hong Kong SFC to Regulate Virtual Asset Trading Platforms The virtual asset market has seen its share of upheaval recently. By the end of 2022, the global... READ MORE
How to Manage Connected Persons and Personal Relationships Compared with other industries, the financial services industry inherently has an elevated risk of... READ MORE
Adopted SEC Rule 10b5-1 Amendments Increase MNPI Scrutiny The U.S. Securities and Exchange Commission adopted proposed amendments to Rule 10b5-1 to enhance... READ MORE
Authority, Ability & Responsibility: Keys to CCO Liability If you’re in Compliance, you know the crucial role that the Chief Compliance Officer plays in... READ MORE
