HK SFC to Bolster Enforcement of Cross-Border Insider Trading Hong Kong’s Securities and Futures Commission (SFC) has published its consultation conclusions on... READ MORE
Data Mapping Effectively Deconstructs Compliance Obligations Regulations, frameworks, policies and controls define the day-to-day of the Chief Compliance... READ MORE
4 Conflicts of Interest Examples (and Solutions) Across APAC A conflict of interest happens when a person with multiple interests serves one to the detriment of... READ MORE
SEC Priorities Focus on MNPI, Insider Trading and Crypto Temperatures are hot across the United States right now – and so is U.S. Securities and Exchange... READ MORE
A Spotlight on SGX-Listed Companies’ Regulatory Compliance Recent enforcements by the Monetary Authority of Singapore (MAS) highlight the need for SGX-listed... READ MORE
Optimal Outside Business Activities Compliance Goes Beyond Disclosures It’s 4PM on a Friday. You were hoping to wrap up for the day to start your weekend, but there’s a... READ MORE
The Top 5 Compliance Executives’ Priorities in 2023 (APAC Edition) At a recent compliance round-table event in Hong Kong, compliance experts, executives, and chief... READ MORE
Take a Forward-Looking View to Manage Conflicts of Interest The days when firms could write off regulatory fines as the cost of doing business are long over.... READ MORE
MAS Guidelines: Expectations of FIs' Advisory Activities for IPOs It has been a lukewarm first quarter of 2023 for the global Initial Public Offering (IPO) market.... READ MORE
