Compliance Insights

Your Employee Didn't Trade on the Deal. Her Agent Did.

A hypothetical, but not for long. A deal-team associate connects a personal AI agent to her work...

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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 —...

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What US–UK Tokenized Finance Alignment Means for Compliance

On July 14, 2026, HM Treasury and the US Department of the Treasury published a ten-point roadmap...

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Personal Account Dealing: Policy on Paper, Risk in Practice

Across the globe, compliance teams are writing personal account dealing (PAD) policies, circulating...

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Canada Is Tightening Oversight of Employee Crypto & Digital Asset Trading

Canada’s crypto framework is moving from transitional supervision toward tighter, more operational...

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UK Listing Act Reforms: Disclosure and Insider Risk Under UK MAR

Often referred to as the UK Listing Act, the UK Listing Rules reforms represent the most...

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Tokenized Securities & Digital Asset Categories: A Compliance Reality Check

On March 17, 2026, the SEC and CFTC did something the crypto industry had been begging for since...

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BaFin, MAR, and Employee Trading: Proving Control in Germany

In Germany, the regulatory test is not whether a firm has employee trading rules on paper, but...

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Employee Personal Trade Capture: Best Practices for Compliance

Effective personal trading compliance depends on more than employee preclearances. At a minimum,...

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