MAS Bill Set to Enhance Investigative and Supervisory Powers The Financial Institutions (Miscellaneous Amendments) Bill, or FIMA Bill, aims to enhance the... READ MORE
FINRA Priorities Include Conflicts of Interest and Communications The 2024 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from... READ MORE
SEC Enforcement and Priorities Set Compliance Expectations for 2024 2023 was another active year for U.S. Securities and Exchange Commission (SEC) enforcement,... 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
FCA's Dear CEO Letter Puts Focus on Personal Trading and Market Abuse On 11 January 2023, the Financial Conduct Authority (FCA) published a "Dear CEO" letter to... READ MORE
Small Compliance Team Priorities for 2023: KYE in the Spotlight Organisations across the globe invest heavily in resources to strengthen relationships between the... READ MORE
Record SEC Enforcement in 2022 Brings Steep Penalties for Misconduct U.S. Securities and Exchange Commission Chair Gary Gensler said in a speech to the Practicing Law... READ MORE
Competing Priorities Drive the Need for Compliance Technology Competing priorities for compliance departments today include tight budgets, challenges hiring and... READ MORE
The Evolution of Regulatory Compliance and Risk Management The modern workplace has undergone a significant evolution in recent years. The pandemic has... READ MORE
