SEC Examination Issues for Private Fund Advisers The Division of Examinations of the U.S. Securities and Exchange Commission recently released a... 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
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
