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
Investment in Proven Fintech and RegTech Pays Off The Thomson Reuters® Regulatory Intelligence survey and report Fintech, RegTech, and the role of... READ MORE
Small Compliance Team Priorities for 2023: KYE in the Spotlight Organisations across the globe invest heavily in resources to strengthen relationships between the... READ MORE
Record SEC Enforcement in 2022 Brings Steep Penalties for Misconduct U.S. Securities and Exchange Commission Chair Gary Gensler said in a speech to the Practicing Law... READ MORE
Your SEC Examination Priorities Guide + the APAC Impact in 2023 For every registered firm with the SEC, it’s not a matter of if you’ll be examined but when.... READ MORE
MCO Wins the Scale Up Award at the Deloitte Technology Fast 50 Ireland Global conduct risk and compliance technology provider MyComplianceOffice (MCO) has placed in the... READ MORE
Enhancing Regulatory Compliance for Your Small Business in 2023 Small businesses and financial firms have undergone seismic shifts over the last few years. The... READ MORE
Outside Business Activity: Putting the Spotlight on Moonlighting “Remember - NO TWO-TIMING - NO MOONLIGHTING”, reads a recent email from Infosys to its employees.... READ MORE
