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
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
