Risk and Compliance Insights - Page 11 | MyComplianceOffice

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FINRA Rule 3220: The Gifts Rule

FINRA Rule 3220, also known as the Gifts Rule, prohibits the use of giving gifts and entertainment...

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Pay to Play Compliance - Understand the Impact of Political Donations

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...

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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...

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DFIC

Smarter Ethics and Conduct Risk Management for the UAE

The regulatory environment for financial institutions in the United Arab Emirates (UAE) region...

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A judge's gavel rests on a wooden block in front of a legal book, with scales of justice in the background, symbolizing law and fairness.

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...

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Artificial intelligence (AI) is transforming compliance

AI & The Compliance Officer: Secret Weapon or Liability?

The compliance landscape is shifting at warp speed. Gone are the days when compliance officers...

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Procurement to Prosecution: S$2.4m Bribery Scheme Exposed

Singapore’s CPIB exposes a major corruption scheme funnelling millions through procurement fraud,...

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FINRA 2025 regulatory report highlights on AML, OBA, and third-party risk

FINRA’s 2025 Oversight Report Highlights AML, OBAs & Third-Party Risk

The Financial Industry Regulatory Authority (FINRA) has released its 2025 Annual Regulatory...

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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...

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