Hong Kong SFC enforces Employee dealing non-compliance The Hong Kong Securities regulator - The Securities and Futures Commission (SFC) has suspended the... READ MORE
What Spooked Compliance Officers this year 2020 has been a scary year and there have been a few things that have spooked the most experienced... READ MORE
Reasons to Automate Compliance Why companies are investing in compliance automation in the first place? The automation... READ MORE
Pay-to-Play Compliance Key in Record Breaking Election Cycle The Federal Election Commission (FEC) recently released their Statistical Summary of 18-Month... READ MORE
ESMA Publishes MAR Review Report On September 23rd, the European Securities and Markets Authority (ESMA) published a set of outcomes... READ MORE
Control Room Rules & Regulations With the increased challenges for financial Control Rooms, global regulators continue to pressure... READ MORE
Using Technology to Transform Compliance Financial institutions never faced as many challenges as during Covid-19. In order to face... READ MORE
The Right Story Builds a Strong Business Technology Case Getting buy-in from key stakeholders in your organization is a critical part of a successful... READ MORE
Technology Helps Firms with Remote Work Compliance Remote work is a part of the current normal in the financial services industry, in the short term... READ MORE
