Compliance Insights

Summary: SFC Consultation Conclusions for VA Trading Platforms

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

READ MORE

Compliance Pitfalls for Newly Registered Investment Advisers

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

READ MORE

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...

READ MORE

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...

READ MORE

Europe & UK Leading Crypto Regulation

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

READ MORE

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...

READ MORE

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....

READ MORE

Hong Kong SFC to Regulate Virtual Asset Trading Platforms

The virtual asset market has seen its share of upheaval recently. By the end of 2022, the global...

READ MORE

How to Manage Connected Persons and Personal Relationships

Compared with other industries, the financial services industry inherently has an elevated risk of...

READ MORE