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
Start to Prepare for the Senior Executive Accountability Regime (SEAR) The Central Bank of Ireland and other international regulators such as the FCA in the UK and MAS in... READ MORE
FCA Business Plan 2021/22 Focuses on ESG Risks and Market Abuse The UK Financial Conduct Authority (FCA) 's 2021-22 Business Plan was published on 15 July 2021 and... READ MORE
Cost of Compliance 2021 – Challenges and Change 2020 and 2021 have been eventful years, dominated by the COVID-19 pandemic and political and... READ MORE
