SFC Issues 3-Year Ban of Former Licensee Over Trading Conduct Hong Kong’s Securities and Futures Commission (SFC) has banned a former licensed representative of... READ MORE
ASIFMA Capital Markets Update: APAC's Challenges and Optimism The Asia-Pacific (APAC) region continues to draw the attention of global financial firms. The... READ MORE
The Impact of MiCA on Your AML/KYC Compliance Program The Markets in Crypto-Assets Regulation (MiCA) is now in force, and with it comes a profound shift... READ MORE
FINRA Rule 3220: The Gifts Rule FINRA Rule 3220, also known as the Gifts Rule, prohibits the use of giving gifts and entertainment... READ MORE
Compliance Checklist for Registered Investment Advisers First and foremost, Registered Investment Advisers (RIAs) are held to a standard of fiduciary duty... READ MORE
Pay to Play Compliance - Understand the Impact of Political Donations SEC Rule 206(4)-5, commonly known as the pay-to-play rule, along with FINRA Rule 2030 and FINRA... READ MORE
Smarter Ethics and Conduct Risk Management for GCC The regulatory environment for financial institutions in the GCC (Gulf Cooperation Council) region... READ MORE
Conviction of Former Judge Over Insider Trading in Japan The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4... READ MORE
