Compliance Insights

Digital Asset Compliance in Australia: The 30 June 2026 Deadline

The Australian Securities and Investments Commission (ASIC) has set a 30 June 2026 deadline which...

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Benchmark Your Trade and Communications Surveillance Program in 2026

The 2026 Surveillance Benchmarking Survey & Report from 1LoD, co-sponsored by MCO, contains...

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Canada Is Tightening Oversight of Employee Crypto & Digital Asset Trading

Canada’s crypto framework is moving from transitional supervision toward tighter, more operational...

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KYC in Times of Conflict: Iran, Sanctions, and Compliance Risk

The growing complexity and frequency of sanctions updates involving Iran are creating significant...

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UK Listing Act Reforms: Disclosure and Insider Risk Under UK MAR

Often referred to as the UK Listing Act, the UK Listing Rules reforms represent the most...

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MNPI Remains a High Risk Area for Compliance

Failing to adequately manage Material Non-Public Information (MNPI) remains a high-risk area for...

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Cryptocurrency Japan: Evolving Regulation for Financial Firms

Japan has long been one of the most developed crypto-asset regulatory markets globally. While many...

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Tokenized Securities & Digital Asset Categories: A Compliance Reality Check

On March 17, 2026, the SEC and CFTC did something the crypto industry had been begging for since...

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BaFin, MAR, and Employee Trading: Proving Control in Germany

In Germany, the regulatory test is not whether a firm has employee trading rules on paper, but...

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