Risk and Compliance Insights - Page 12 | MyComplianceOffice

Man in a gray suit sits at a desk with a laptop, looking to the side in a modern office setting.

ASIFMA Capital Markets Update: APAC's Challenges and Optimism

The Asia-Pacific (APAC) region continues to draw the attention of global financial firms. The...

READ MORE

MCO enables firms to manage MiCA AML & KYC requirements

The Impact of MiCA on Your AML/KYC Compliance Program

The Markets in Crypto-Assets Regulation (MiCA) is now in force, and with it comes a profound shift...

READ MORE

MCO provides policy governance and policy risk assessment

Keeping Policies and Compliance Current Amid Regulatory Change

Compliance teams face an ongoing challenge: how to keep their policies and procedures current amid...

READ MORE

A wrapped gift with a red ribbon sits on a white desk next to an open laptop.

FINRA Rule 3220: The Gifts Rule

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

READ MORE

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...

READ MORE

Close-up of a keyboard with the letters

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

DFIC

Smarter Ethics and Conduct Risk Management for the UAE

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

READ MORE

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...

READ MORE

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...

READ MORE