The Compliance Challenges Firms Need to Tackle Conduct risk issues including employee compliance, transaction surveillance and third party risk... READ MORE
The SEC and the “RIC-ification” of Private Funds Have recent proposals foreshadowed a fundamental change to the regulation of private funds in the... READ MORE
What’s the Latest in Books and Records Compliance? It should come as no surprise to compliance teams that the management of Books and Records is in... READ MORE
The Importance of Compliance Management Compliance is a crucial business function for every large-scale and small-scale organisation. It is... READ MORE
How Small Firms Can Benefit From Compliance Technology Every single firm, no matter how big or small, has to adhere to all the latest regulations,... READ MORE
Crypto Regulations in Singapore and Recent Enforcements The regulatory framework for Digital Assets and Cryptocurrencies (Crypto) has been rapidly... READ MORE
Failure to Disclose Relationship Leads to a Public Crisis Failure to disclose connected persons and personal relationships as required by firm policies and... READ MORE
Hong Kong’s Regulator Fines Asian Bank Over Stock Trading Misconduct In January 2022, Hong Kong’s financial-markets regulator fined a large Asian Bank HK$348.25m... READ MORE
Integrated Data Helps Manage Conduct Risk During the webinar Conduct, Compliance and Ethics in Capital Markets, an executive panel with... READ MORE
