Compliance Insights

Adopted SEC Rule 10b5-1 Amendments Increase MNPI Scrutiny

The U.S. Securities and Exchange Commission adopted proposed amendments to Rule 10b5-1 to enhance...

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Authority, Ability & Responsibility: Keys to CCO Liability

If you’re in Compliance, you know the crucial role that the Chief Compliance Officer plays in...

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MAS Bans Payment for Order Flow (PFOF) from 1 April 2023

In late 2022, the Monetary Authority of Singapore (MAS) announced a complete ban on payment for...

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When Does Personal Trading Become Insider Trading in Finance Firms?

The preservation of healthy financial markets relies on having safe, properly regulated...

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How to Reduce Insider Trading Risk and Stay Compliant

Insider trading risk is not just a legal issue for individuals. It is a control issue for firms....

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FCA's Dear CEO Letter Puts Focus on Personal Trading and Market Abuse

On 11 January 2023, the Financial Conduct Authority (FCA) published a "Dear CEO" letter to...

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Investment in Proven Fintech and RegTech Pays Off

The Thomson Reuters® Regulatory Intelligence survey and report Fintech, RegTech, and the role of...

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Small Compliance Team Priorities for 2023: KYE in the Spotlight

Organisations across the globe invest heavily in resources to strengthen relationships between the...

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Record SEC Enforcement in 2022 Brings Steep Penalties for Misconduct

U.S. Securities and Exchange Commission Chair Gary Gensler said in a speech to the Practicing Law...

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