Insider Trading in the Lead-Up to the Banking Crisis The stability of the global banking system is a top-of-mind concern for everyone right now. And as... READ MORE
MAS Bans Payment for Order Flow (PFOF) from 1 April 2023 In late 2022, the Monetary Authority of Singapore (MAS) announced a complete ban on payment for... READ MORE
Outside Business Activity: Putting the Spotlight on Moonlighting “Remember - NO TWO-TIMING - NO MOONLIGHTING”, reads a recent email from Infosys to its employees.... READ MORE
FCA Fines Asset Management Firm and Employee for Conflicts of Interest The UK Financial Conduct Authority (FCA) has clearly set expectations to ensure that asset managers... READ MORE
Crypto Regulations in Singapore and Recent Enforcements The regulatory framework for Digital Assets and Cryptocurrencies (Crypto) has been rapidly... 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
Hong Kong’s Regulator Fines Asian Bank Over Stock Trading Misconduct In January 2022, Hong Kong’s financial-markets regulator fined a large Asian Bank HK$348.25m... READ MORE
Integrated Data Helps Manage Conduct Risk During the webinar Conduct, Compliance and Ethics in Capital Markets, an executive panel with... READ MORE
Insider Trading, Crypto and SPACs top the SEC’s List of Concerns The U.S. Securities and Exchange Commission (SEC) recently released it’s report of enforcement... READ MORE
