Take a Forward-Looking View to Manage Conflicts of Interest The days when firms could write off regulatory fines as the cost of doing business are long over.... READ MORE
MAS Guidelines: Expectations of FIs' Advisory Activities for IPOs It has been a lukewarm first quarter of 2023 for the global Initial Public Offering (IPO) market.... READ MORE
Summary: SFC Consultation Conclusions for VA Trading Platforms After challenges with strict COVID restrictions and political issues in the last several years,... READ MORE
Compliance Pitfalls for Newly Registered Investment Advisers The United States Securities and Exchange Commission's Division of Examinations Risk Alert:... READ MORE
Regulatory Compliance Rising Rapidly in Malaysia (Latest Guidance) The 1MDB scandal saw Malaysia’s former Prime Minister jailed for 12 years with a fine of 210m... 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
