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
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
FASEA Requirements & Code of Ethics for Financial Advisers The Financial Adviser Standards and Ethics Authority (FASEA) sets education, training and ethical... READ MORE
