Insider Trading Leads to Criminal and Civil Penalties A consulting firm partner who was advising a global bank on the acquisition of a FinTech loan... 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
SPACs, IPOs and Conduct Risk Special Purpose Acquisition Companies (SPACs) are a hot topic in the news right now—and an issue... READ MORE
Avoid Regulatory Action with Broker-Dealer Compliance Software In a landscape rife with legal obligations, few financial firms are as heavily regulated as... READ MORE
A Quick Guide to Compliance Management Between security, financial, and many other regulations, compliance has become a critical business... READ MORE
Using Technology to Transform Compliance Financial institutions never faced as many challenges as during Covid-19. In order to face... READ MORE
Conflicts of Interest Examples & Cases in Financial Services Companies in financial services have an elevated risk of encountering conflicts of interest, due... READ MORE
SEC Finds Deficiencies in Disclosing Conflicts of Interest and MNPI The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange... READ MORE
Remote working increases market abuse risks At the beginning of the Covid-19 crisis, the FCA released a statement, where the regulator has... READ MORE
