Insider Trading, Crypto and SPACs top the SEC’s List of Concerns The U.S. Securities and Exchange Commission (SEC) recently released it’s report of enforcement... READ MORE
Insider Trading Leads to Criminal and Civil Penalties A consulting firm partner who was advising a global bank on the acquisition of a FinTech loan... READ MORE
Now’s the Time to Wrap Up Gifts & Entertainment Policies It’s that time of year again! The end of the year brings opportunity for corporate gift giving and... READ MORE
SPACs, IPOs and Conduct Risk Special Purpose Acquisition Companies (SPACs) are a hot topic in the news right now—and an issue... READ MORE
Scared That Your Employees Have Two Jobs? Let’s talk about remote employees working at two jobs. Have you come across this before? A recent... READ MORE
Insider Trading Scandal Shocks Germany's Asset Management Community Last year, German police arrested a senior fund manager in Frankfurt for insider trading. The fund... READ MORE
An Overview of Conduct, Culture and Accountability Regimes The ASIFMA Compliance Week focused on various relevant topics for Compliance professionals, from... READ MORE
Individuals Charged in Relation to Insider Trading in Singapore The Monetary Authority of Singapore (MAS) released a press release stating that three individuals... READ MORE
How To Meet FCA Reporting Requirements (and Avoid Regulatory Action) The Financial Conduct Authority (FCA) regulates over 58,000 financial services firms and financial... READ MORE
