Top Ten Reasons to Love MyComplianceOffice MyComplianceOffice is an innovative, cost-effective and easy-to-use platform that streamlines... 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
Growth Drives Risk and Compliance Challenges in the UAE and Saudi Arabia As the United Arab Emirates (UAE) and the Kingdom of Saudi Arabia (KSA) continue developing as... 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
SEC Examination Priorities Provide a Roadmap for 2025 Compliance The US Securities and Exchange Commission has published its rundown of Examination Priorities for... READ MORE
Mitigate Risk During the Gift-Giving Season and Beyond The holiday season will be here before we know it! And that means gifts and entertainment... READ MORE
MNPI Remains a High Risk Area for Compliance Failing to adequately manage Material Non-Public Information (MNPI) remains a high-risk area for... READ MORE
Too Many Firms Still Track Employee Registration Compliance Manually Tracking employee compliance credentials including licensing, registrations and continuing... READ MORE
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... READ MORE
