Conviction of Former Judge Over Insider Trading in Japan The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4... READ MORE
AI & The Compliance Officer: Secret Weapon or Liability? The compliance landscape is shifting at warp speed. Gone are the days when compliance officers... READ MORE
Procurement to Prosecution: S$2.4m Bribery Scheme Exposed Singapore’s CPIB exposes a major corruption scheme funnelling millions through procurement fraud,... READ MORE
FINRA’s 2025 Oversight Report Highlights AML, OBAs & Third-Party Risk The Financial Industry Regulatory Authority (FINRA) has released its 2025 Annual Regulatory... READ MORE
SFC Market Sounding Guidelines: What Firms Need to Know Hong Kong’s market sounding regime is now more formalized. The Securities and Futures Commission’s... READ MORE
Learn From Compliance Violations to Understand Your Gaps Violations are a sensitive area for any firm. No one wants to deal with compliance issues. The... READ MORE
Steering Clear of Insider Trading: Chauffeur's Wife Fined $107K A recent case in Hong Kong has sent a clear signal to financial firms about the dangers of failing... READ MORE
Get the Message! Preserve eComms or Face Steep Regulatory Consequences Over the past few years, the SEC and CFTC have charged multiple Wall Street firms with widespread... READ MORE
Be Audit Ready by Optimizing Compliance Recordkeeping and Data As part of the audit process, regulators expect you’ll have quick and easy access to your... READ MORE
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