Conviction of Former Judge Over Insider Trading in Japan The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4... READ MORE
Managing Insider Information is the Key to Managing Trading Risk Employees who work at firms in the financial services industry are privy to sensitive information... READ MORE
Insider List and Information Management under MAR The European Market Abuse Regulations (MAR) have been in effect since July of 2016. Regulatory... READ MORE
Steering Clear of Insider Trading: Chauffeur's Wife Fined $107K A recent case in Hong Kong has sent a clear signal to financial firms about the dangers of failing... READ MORE
Compliance Software for the Financial Control Room Managing a financial trading control room involves balancing a wide variety of tasks. To comply... READ MORE
Blackout Periods and Insider Trading Risk for Listed Companies Insider trading cases have seen a variety of sentences over the years. However, some jurisdictions... 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
HK SFC to Bolster Enforcement of Cross-Border Insider Trading Hong Kong’s Securities and Futures Commission (SFC) has published its consultation conclusions on... READ MORE
4 Conflicts of Interest Examples (and Solutions) Across APAC A conflict of interest happens when a person with multiple interests serves one to the detriment of... READ MORE
