MyComplianceOffice Blog

The DOJ has served notice it will require clear answers to these three questions during future misconduct investigations. Your answers must demonstrate your organization’s compliance program is having a definite impact. In other words, the DOJ expects results. 

UK firms have less than six months left to ensure they comply with the new Senior Managers and Certification Regime (SMCR) rules. SMCR will have a measurable impact on management, compliance, human resources and technology processes for all firms regulated by the Financial Conduct Authority. 

South Africa recently introduced a new regulator and regulatory framework whose primary objective is to supervise the conduct of business of all financial institutions there. The Financial Sector Conduct Authority (FSCA) represents a distinct change in the country’s approach to regulation of its financial services industry. 

Technology makes keeping material non-public information (MNPI) in compliance with securities laws and regulations a lot easier. As a longstanding priority to prevent insiders from wielding unfair market advantage, regulators on both sides of the Atlantic have explicit guidelines surrounding the sharing of MNPI among corporate insiders in advance of trading and investment deals.[1] 

The World Trade Organization (WTO), whose role is to regulate international trade, has recently taken a more clear-cut approach to combatting corruption across the globe. In fact, the WTO has now made an open stand regarding anti-corruption measures and trade in its dispute settlement system.