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
APRA and ASIC Superannuation Roundtable Insights & Outcomes APRA and ASIC hosted Superannuation CEO Roundtables in June and July 2024, focusing on a central... READ MORE
Brisbane Financial Adviser Sentenced to 12 Years Imprisonment A former financial adviser and director of a financial institution (FI) in Brisbane, Australia, has... READ MORE
Bill Passed to Boost Singapore's Fight Against Money Laundering Singapore’s Parliament has passed the Anti-Money Laundering (AML) and Other Matters Bill, a crucial... READ MORE
Using AI? The Rules of Effective Compliance Still Apply Artificial intelligence (AI) has emerged as a powerful tool in compliance and technology. From... READ MORE
Too Many Firms Still Track Employee Registration Compliance Manually Tracking employee compliance credentials including licensing, registrations and continuing... READ MORE
Fit for Purpose – Consumer Duty Compliance Remains a FCA Priority It's been almost one year the Consumer Duty came into force, setting higher and clearer standards... READ MORE
