Compliance Insights

HK SFC Framework for Secondary Trading of Tokenised Funds

In April 2026, Hong Kong’s Securities and Futures Commission (SFC) published two circulars that...

READ MORE

Better Conflicts of Interest Management for French Investment Banks

French investment banks are facing increasingly complex regulatory expectations from the Autorité...

READ MORE

Hong Kong’s SFC Sets a Measured Path for Virtual Asset Trading

Hong Kong’s Securities and Futures Commission (SFC) has set out a well-defined and disciplined path...

READ MORE

24/7 Compliance Requires Always-On Policy Guidance

Compliance programs do not fail because policies do not exist. They fail when employees cannot...

READ MORE

Australia: Defining the Next Phase of Crypto Regulation

Australia is moving from a principles-based approach to a defined regulatory framework for digital...

READ MORE

BaFin Record-Keeping Requirements for Financial Services Firms

Germany's Federal Financial Supervisory Authority, the Bundesanstalt für...

READ MORE

A Costly Oversight: Hong Kong SFC Action on Personal Trading

On 09 April 2026, Hong Kong’s Securities and Futures Commission (SFC) announced its sanctions of a...

READ MORE

Singapore: Setting the Standard for Clear Crypto Regulation

Singapore has taken a deliberate, structured approach to digital asset regulation. Instead of...

READ MORE

Employee Personal Trade Capture: Best Practices for Compliance

Effective personal trading compliance depends on more than employee preclearances. At a minimum,...

READ MORE