Compliance Insights

BaFin Record-Keeping Requirements for Financial Services Firms

Germany's Federal Financial Supervisory Authority, the Bundesanstalt für...

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Global Regulators Covering Communications Surveillance

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

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SEC Examination Priorities Provide a Roadmap for 2026 Compliance

The US Securities and Exchange Commission Division of Examinations has published its rundown of...

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FINRA’s 2025 Oversight Report Highlights AML, OBAs & Third-Party Risk

The Financial Industry Regulatory Authority (FINRA) has released its 2025 Annual Regulatory...

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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...

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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...

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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...

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SEC Examination Priorities Provide a Roadmap for 2025 Compliance

The US Securities and Exchange Commission has published its rundown of Examination Priorities for...

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The SEC Speaks About Off-Channel Communications, Disclosures and More

Presented by the Practising Law Institute in conjunction with the U.S. Securities and Exchange...

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