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Data Mapping Effectively Deconstructs Compliance Obligations

Regulations, frameworks, policies and controls define the day-to-day of the Chief Compliance Officer (CCO) and their teams. It’s fair to say that it is an important yet often troublesome undertaking to make sense of what can often be described as monitoring spaghetti. At the same time, the teams also need to ensure they are keeping senior execs and the Front Office engaged and compliant.

So how can the CCO set regulatory priorities, identify policy and procedure gaps and understand compliance obligations?

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SEC Enforcement Focuses on MNPI, Insider Trading and Crypto

Temperatures are hot across the Unites States right now – and so is U.S. Securities and Exchange Commission (SEC) enforcement activity. The end of July has seen the SEC file multiple insider trading actions against a former chief information security officer, an investment banker, a former FBI trainee, a former U.S. Congressman and a former crypto employee.

The actions reinforced the agency’s focus on insider trading and MNPI, and also raised some questions about the definition of a security and the scope of the agency’s oversight of the crypto space.

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SEC Announces Spring 2022 Regulatory Agenda

The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2022 Unified Agenda of Regulatory and Deregulatory Actions. The report provides an update on the short and long-term regulatory actions that the agency plans to take.

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Reducing Compliance Risk in Workplaces Across Southeast Asia

Southeast Asia is a region of diverse cultures, religions, and political frameworks that holds a unique growth opportunity. Asia’s consumer markets are rapidly growing and diversifying. McKinsey Global Institute research found that consumers in Asia are now reaching higher tiers of the income pyramid. At the same time, diverse cohorts are developing within key cities. New behaviours, demographics, and growth angles and being created by emerging segments such as Gen Z gamers, digital natives, and older generations moving online, to name a few.

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RegTech Adoption is the Way Forward for Better Compliance

I recently had the privilege of speaking on the sessionRegTech Adoption – The Way Forward at the 2022 ASIFMA Compliance Asia Conference as part of a panel of industry experts. The conference featured three half-days of info-packed sessions that covered the latest compliance issues and emerging regulatory trends. 

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