A Spotlight on SGX-Listed Companies’ Regulatory Compliance Recent enforcements by the Monetary Authority of Singapore (MAS) highlight the need for SGX-listed... 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
Compliance Pitfalls for Newly Registered Investment Advisers The United States Securities and Exchange Commission's Division of Examinations Risk Alert:... READ MORE
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
