SEC Examination Priorities Provide a Roadmap for 2025 Compliance The US Securities and Exchange Commission has published its rundown of Examination Priorities for... READ MORE
Staying Ahead of Regulatory Change in eComms Surveillance Regulators around the globe are taking a firm stance against off-channel communications. In the US,... READ MORE
Addressing Compliance Within Financial Firms’ CPD Requirements The financial services industry brings substantial responsibilities for those working within it,... READ MORE
Mitigate Risk During the Gift-Giving Season and Beyond The holiday season will be here before we know it! And that means gifts and entertainment... READ MORE
SFC Issues 6-Month Ban for Fit and Proper Requirements Failure The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for... READ MORE
MNPI Remains a High Risk Area for Compliance Failing to adequately manage Material Non-Public Information (MNPI) remains a high-risk area for... READ MORE
Top Ten Reasons Why We Love Compliance Officers In honor of National Compliance Officer's Day, we wanted to share the many reasons why we love... READ MORE
Now's the Time to Plan for FINRA Renewals Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps... READ MORE
Hong Kong’s SFC Imposes Life Ban on Former Associate Director Hong Kong’s Securities and Futures Commission (SFC) has imposed a lifetime ban on a former... READ MORE
