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
MAS Bans Payment for Order Flow (PFOF) from 1 April 2023 In late 2022, the Monetary Authority of Singapore (MAS) announced a complete ban on payment for... READ MORE
When Does Personal Trading Become Insider Trading in Finance Firms? The preservation of healthy financial markets relies on having safe, properly regulated... READ MORE
How to Reduce Insider Trading Risk and Stay Out of the Headlines Cases of insider trading and securities compliance failures have made headlines in recent years.... READ MORE
FCA's Dear CEO Letter Puts Focus on Personal Trading and Market Abuse On 11 January 2023, the Financial Conduct Authority (FCA) published a "Dear CEO" letter to... READ MORE
2023 FINRA Exam Report Includes New Financial Crime Risks The 2023 Report on FINRA’s Examination and Risk Monitoring Program provides firms with insight into... READ MORE
Investment in Proven Fintech and RegTech Pays Off The Thomson Reuters® Regulatory Intelligence survey and report Fintech, RegTech, and the role of... READ MORE
