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... READ MORE
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... READ MORE
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... READ MORE
Employee Personal Trade Capture: Best Practices for Compliance Effective personal trading compliance depends on more than employee preclearances. At a minimum,... READ MORE
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
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