Compliance Insights

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....

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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...

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How to Manage Connected Persons and Personal Relationships

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

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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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