Compliance Insights

Global Regulators Covering Communications Surveillance

Electronic communications compliance is now a global expectation for regulated firms, not a local...

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Insider List and Information Management Under MAR

In effect since July of 2016, the European Market Abuse Regulations (MAR) are EU regulations...

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4 Conflicts of Interest Examples (and Solutions) Across APAC

A conflict of interest happens in financial firms when an employee, executive, or director has...

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FINRA’s New Outside Activity Rule: What the Changes Mean for Compliance

On January 29, 2026, FINRA filed proposed Rule 3290 with the U.S. Securities and Exchange...

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Fund Manager Gets 6 Years' Jail: ASIC Insider Trading Case

The Federal Court in Sydney has sentenced a former investment manager for an ASX-listed asset...

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Crypto Regulation Compliance

Investment in crypto and digital assets is mainstream. What was once considered niche and emerging...

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Employee Conflicts of Interest: APAC Financial Firm Best Practices

Financial services firms face an elevated risk of conflicts of interest, largely due to the...

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VARA and Virtual Asset Regulation Compliance in Dubai

The Virtual Assets Regulatory Authority (VARA) is Dubai's dedicated regulator for virtual assets...

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ASIC RG 181 Update: Raising the Stakes in Conflicts of Interest

On 16 December 2025, the Australian Securities and Investments Commission (ASIC) released its...

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