SEC Announces Spring 2022 Regulatory Agenda The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2022 Unified... READ MORE
RegTech Adoption is the Way Forward for Better Compliance I recently had the privilege of speaking on the sessionRegTech Adoption – The Way Forward at 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
Crypto Regulations in Singapore and Recent Enforcements The regulatory framework for Digital Assets and Cryptocurrencies (Crypto) has been rapidly... 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
SPACs, IPOs and Conduct Risk Special Purpose Acquisition Companies (SPACs) are a hot topic in the news right now—and an issue... READ MORE
An Interview with Brian Fahey | MyComplianceOffice “We believe very strongly that to lower costs in your compliance management, and lower risks, you... READ MORE
