Managing Gifts, Entertainment, and Hospitality Risk in Financial Firms According to a survey of over 300 compliance and financial professionals, the leading challenge in... READ MORE
ASIC Proposes New Guidance on Managing Conflicts of Interest ASIC has announced proposed reforms to its guidance on managing conflicts of interest, marking the... READ MORE
FINRA’s New OBA Rule: What the Proposed Changes Mean for Compliance FINRA’s recently released Regulatory Notice 25-05 proposes significant changes to the rules... READ MORE
Top Ten Reasons to Love MyComplianceOffice MyComplianceOffice is an innovative, cost-effective and easy-to-use platform that streamlines... READ MORE
APRA and ASIC Superannuation Roundtable Insights & Outcomes APRA and ASIC hosted Superannuation CEO Roundtables in June and July 2024, focusing on a central... READ MORE
Brisbane Financial Adviser Sentenced to 12 Years Imprisonment A former financial adviser and director of a financial institution (FI) in Brisbane, Australia, has... READ MORE
Streamline Employee Attestations and Certifications Financial services firms are among the most heavily regulated organizations worldwide. From the FCA... READ MORE
Navigating Pay-To-Play Compliance in an Election Year and Beyond The 2024 U.S. Presidential election is grabbing the headlines right now. However, 469 other federal... READ MORE
4 Conflicts of Interest Examples (and Solutions) Across APAC A conflict of interest happens when a person with multiple interests serves one to the detriment of... READ MORE
