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
Preparing for Markets in Crypto-Assets Regulation (MiCA) The Markets in Crypto-Assets Regulation (MiCA) institutes uniform regulations for crypto-assets... READ MORE
ASIC Calls for Stronger Supervision of Business Communications The Australian Securities and Investments Commission (ASIC) has called on market intermediaries to... READ MORE
APRA Launches Prudential Handbook to Simplify Compliance The Australian Prudential Regulation Authority (APRA) has undergone several initiatives over the... READ MORE
APRA Slaps Super Fund with Additional Licence Conditions The Australian Prudential Regulation Authority (APRA) has imposed additional licence conditions on... READ MORE
Streamline Employee Attestations and Certifications Financial services firms are among the most heavily regulated organizations worldwide. From the FCA... READ MORE
ASIC Action Results in $1.25 Million Fine of “Licensee for Hire” Firm The Australian Federal Court recently issued a staggering $1.25 million penalty against a wholesale... READ MORE
Infographic: Personal Account Dealing Compliance Personal Account Dealing, when employees gain personal profit from inside information or other data... READ MORE
