Hong Kong: SFC Enforcement Highlights Trading Oversight Gaps Hong Kong’s Securities and Futures Commission (SFC) has taken enforcement action against the... READ MORE
How the GENIUS Act and CLARITY Act Will Change Compliance Requirements Two major U.S. legislative initiatives — the enacted GENIUS Act and the pending CLARITY Act —... READ MORE
Technology Gives Firms a Better Handle on Managing Digital Asset Risk Technology has given financial services employees access to a much broader range of digital assets,... READ MORE
Mitigate Employee Insider Risk With Compliance Technology Insider dealing is a perennial concern for regulators around the globe. Agencies like the SEC, the... READ MORE
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
Capturing Employee Personal Trades Automating the monitoring of personal trade accounts requires the capture of trade data in an... READ MORE
Hong Kong SFC enforces Employee dealing non-compliance The Hong Kong Securities regulator - The Securities and Futures Commission (SFC) has suspended the... READ MORE
FCA on Personal Account Dealing Compliance The Financial Conduct Authority (FCA) issued Market Watch 62 in October in which the regulator... READ MORE
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