FCA Fines Asset Management Firm and Employee for Conflicts of Interest The UK Financial Conduct Authority (FCA) has clearly set expectations to ensure that asset managers... READ MORE
SEC Focuses on MNPI and Code of Ethics Issues The SEC issued the Risk Alert Investment Adviser MNPI Compliance Issues to provide investment... READ MORE
MCO Announces Close of Schwab Compliance Technologies Acquisition New York, May 2, 2022: MCO (MyComplianceOffice), a global provider of conduct risk and compliance... READ MORE
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
The Importance of Compliance Management Compliance is a crucial business function for every large-scale and small-scale organisation. It is... READ MORE
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
