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
The Evolution of Regulatory Compliance and Risk Management The modern workplace has undergone a significant evolution in recent years. The pandemic has... READ MORE
Reducing Compliance Risk in Workplaces Across Southeast Asia Southeast Asia is a region of diverse cultures, religions, and political frameworks that holds a... READ MORE
FCA's 2022-2025 Strategy Focuses on Data, Conduct Risk and Outcomes The U.K. Financial Conduct Authority (FCA) has released its three-year strategy for 2022-2025. The... READ MORE
Technology Gives Firms a Better Handle on Managing Digital Asset Risk Regulated digital assets might sound like an oxymoron given that cryptocurrency was developed as an... READ MORE
The Compliance Challenges Firms Need to Tackle Conduct risk issues including employee compliance, transaction surveillance and third party risk... READ MORE
Failure to Disclose Relationship Leads to a Public Crisis Failure to disclose connected persons and personal relationships as required by firm policies and... READ MORE
Now’s the Time to Wrap Up Gifts & Entertainment Policies It’s that time of year again! The end of the year brings opportunity for corporate gift giving and... READ MORE
