MyComplianceOffice Blog

As the United Arab Emirates (UAE) and the Kingdom of Saudi Arabia (KSA) continue developing as global hubs in the financial services industry, the need for a robust code of ethics and compliance frameworks cannot be overstated.

The SEC issued the Risk Alert Investment Adviser MNPI Compliance Issues to provide investment advisers, investors, and other market participants with information concerning notable deficiencies that the the Division of Examinations (“EXAMS”) has cited related to material non-public information (MNPI) and Code of Ethics Issues.