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... READ MORE
FCA's 2022-2025 Strategy Focuses on Data, Conduct Risk and Outcomes The U.K. Financial Conduct Authority (FCA) has released its three-year strategy for 2022-2025. The... READ MORE
FCA Conflicts of Interest in Asset Management Explained Conflicts of interest are one of the FCA’s primary conduct concerns for asset managers. The... READ MORE
SEC Focuses on MNPI and Code of Ethics Issues The SEC issued the Risk Alert Investment Adviser MNPI Compliance Issues to provide investment... READ MORE
MCO Announces Close of Schwab Compliance Technologies Acquisition New York, May 2, 2022: MCO (MyComplianceOffice), a global provider of conduct risk and compliance... READ MORE
The Compliance Challenges Firms Need to Tackle Conduct risk issues including employee compliance, transaction surveillance and third party risk... READ MORE
The SEC and the “RIC-ification” of Private Funds Have recent proposals foreshadowed a fundamental change to the regulation of private funds in the... READ MORE
The Importance of Compliance Management Compliance is a crucial business function for every large-scale and small-scale organisation. It is... READ MORE
SEC Examination Issues for Private Fund Advisers The Division of Examinations of the U.S. Securities and Exchange Commission recently released a... READ MORE
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