Conflicts of Interest Examples & Cases in Financial Services Companies in financial services have an elevated risk of encountering conflicts of interest, due... READ MORE
Meet a Member of the Team - Jasmine Northrop We are an international team with offices in 3 different continents and employees from more than 20... READ MORE
FCA Consults on Extending SMCR Deadlines The FCA is consulting on extending the deadlines for the SMCR for solo-regulated firms until 31... READ MORE
Compliance in the second half of 2020 The coronavirus pandemic has been a significant event, bringing lots of uncertainty to... READ MORE
FASEA Requirements & Code of Ethics for Financial Advisers The Financial Adviser Standards and Ethics Authority (FASEA) sets education, training and ethical... READ MORE
DOJ Demonstrates Heightened Focus on Third-Party Risk Recent guidance from the US Department of Justice (DOJ) on the Evaluation of Corporate Compliance... READ MORE
Avoiding Software Purchase Remorse When a company makes the decision to implement compliance software, the steps they take at the very... READ MORE
Procurement Is Not Your Enemy One of the top reasons enterprise decision-makers give for not wanting to work with procurement is... READ MORE
SEC Finds Deficiencies in Disclosing Conflicts of Interest and MNPI The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange... READ MORE
