Compliance Insights

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...

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FINRA Priorities Include Conflicts of Interest, AI and Financial Crime

The 2026 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from...

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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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Employee Personal Trading Compliance for UAE Banks & Financial Services Firms

Ensuring employee personal trading compliance is critical for banks and financial services firms...

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A Guide to Financial Services Regulators and Compliance Regulations in the Middle East

Compliance requirements across the Middle East continue to expand in scope and complexity for banks...

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UAE Compliance Crackdown: The Implications of Increasing Enforcement

In 2025, the Central Bank of the UAE (CBUAE) launched one of its most aggressive enforcement...

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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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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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