Making G&E Compliance Faster & More Cost-Effective The CEO of any financial firm will tell you regulatory compliance is one of their organization’s... READ MORE
5 tips to create a high impact compliance program What makes a high impact compliance program? Given the state of many corporate compliance programs,... READ MORE
2019 One of the Busiest Years for FCPA Enforcement The month of June ended what has been one of the most active half-years in Foreign Corrupt... READ MORE
New Bill Seeks Clarity on Insider Trading Law On May 7, 2019, U.S. Representative James Himes (D-Conn) introduced the “Insider Trading... READ MORE
Corporations Stand to Benefit from Adequate Procedures The Department of Justice (DOJ) has provided updated guidance for prosecutors evaluating corporate... READ MORE
U.S. Department of Justice's New Guidance Centers on Three Questions The DOJ has served notice it will require clear answers to these three questions during future... READ MORE
The Clock is Ticking on SMCR Compliance UK firms have less than six months left to ensure they comply with the new Senior Managers and... READ MORE
Track Insiders in Compliance with Market Abuse Regulations Technology makes keeping material non-public information (MNPI) in compliance with securities laws... READ MORE
There's a New Anti-Corruption Sheriff in Town Earlier this year, the U.S. Commodity Futures Trading Commission (CFTC) announced for the first... READ MORE
