Compliance Insights

Better Conflicts of Interest Management for French Investment Banks

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

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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...

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24/7 Compliance Requires Always-On Policy Guidance

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

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Australia: Defining the Next Phase of Crypto Regulation

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

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BaFin Record-Keeping Requirements for Financial Services Firms

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

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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...

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Singapore: Setting the Standard for Clear Crypto Regulation

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

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Employee Personal Trade Capture: Best Practices for Compliance

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

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Hong Kong: SFC Enforcement Highlights Trading Oversight Gaps

Hong Kong’s Securities and Futures Commission (SFC) has taken enforcement action against the...

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