Risk and Compliance Insights - Page 18 | MyComplianceOffice

Sunlit interior of a modern building with large glass windows, metal beams, and reflections on the floor, creating an airy and open atmosphere.

Take a Forward-Looking View to Manage Conflicts of Interest

The days when firms could write off regulatory fines as the cost of doing business are long over....

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MAS expectations for financial institutions advising on IPOs – compliance guide

MAS Guidelines: Expectations of FIs' Advisory Activities for IPOs

It has been a lukewarm first quarter of 2023 for the global Initial Public Offering (IPO) market....

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SFC Consultation Conclusions for VA Trading Platforms

Summary: SFC Consultation Conclusions for VA Trading Platforms

After challenges with strict COVID restrictions and political issues in the last several years,...

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RIA compliance risk alert 2023 – key regulatory findings for investment advisers

Compliance Pitfalls for Newly Registered Investment Advisers

The United States Securities and Exchange Commission's Division of Examinations Risk Alert:...

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The Petronas Twin Towers and surrounding city buildings in Kuala Lumpur are illuminated at dusk under a partly cloudy sky, symbolizing a city where regulatory compliance is rising rapidly in Malaysia.

Regulatory Compliance Rising Rapidly in Malaysia (Latest Guidance)

The 1MDB scandal saw Malaysia’s former Prime Minister jailed for 12 years with a fine of 210m...

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Executives profited from insider trading in the lead-up to 2023 banking collapses

Insider Trading in the Lead-Up to the Banking Crisis

The stability of the global banking system is a top-of-mind concern for everyone right now. And as...

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Europe-Leading-Crypto-Regulation

Europe & UK Leading Crypto Regulation

Europe has been at the forefront regarding crypto asset regulation with its recently approved...

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Hong Kong ICAC Releases Anti-Corruption Guide for Banking Industry

Hong Kong ICAC Releases Anti-Corruption Guide for Banking Industry

Hong Kong has become one of the most corruption-free nations in the world. The Transparency...

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SIFMA Compliance and Legal Conference 2023 key takeaways for compliance officers

Change is the Theme at SIFMA Compliance & Law 2023

A consistent theme across sessions at the 2023 SIFMA Compliance and Law Annual Seminar was change....

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