Sweden’s financial supervisory authority is investigating Swedbank for suspected breaches of market-abuse regulations.
On May 7, 2019, U.S. Representative James Himes (D-Conn) introduced the “Insider Trading Prohibition Act,” which would amend the Securities Exchange Act of 1934, by inserting a new section that defines the elements of criminal insider trading. The bill was passed unanimously in the House Financial Services Committee on May 10.
We're excited to announce the arrival ofMyComplianceOffice 9.0, the newest release of our easy-to-use online compliance solution. In addition to many new features and updates, 9.0 contains Deal Review Manager (DRM), a new module that helps firms manage deals/opportunities and the flow of any related Material Non-Public Information (MNPI). This new module allows users to review investment banking deals, evaluate potential conflicts, define the associated restrictions, as well as capture the compliance review for auditing, regulatory and reporting needs. It can also audit the communication by the control room/compliance review team to the deal team members, including required disclosures.
At MCO, we help companies, of all sizes, address Employee Compliance with affordable, easy to use, and integrated technology. From understanding employee transactions to gifts and entertainment activities - and everything in between, MyComplianceOffice 9.0 gives you the flexibility you need for today's complex regulatory requirements.
This Monday saw two men, Martyn Dodgson and Andrew Hind found guilty of insider trading after a four month trial in what is Britain’s biggest ever insider trading case.