Compliance Insights

Mitigate Employee Insider Risk With Compliance Technology

Insider dealing is a perennial concern for regulators around the globe. Agencies like the SEC, the...

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HK SFC to Bolster Enforcement of Cross-Border Insider Trading

Hong Kong’s Securities and Futures Commission (SFC) has published its consultation conclusions on...

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SEC Priorities Focus on MNPI, Insider Trading and Crypto

Temperatures are hot across the United States right now – and so is U.S. Securities and Exchange...

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A Spotlight on SGX-Listed Companies’ Regulatory Compliance

Recent enforcements by the Monetary Authority of Singapore (MAS) highlight the need for SGX-listed...

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Regulatory Compliance Rising Rapidly in Malaysia (Latest Guidance)

The 1MDB scandal saw Malaysia’s former Prime Minister jailed for 12 years with a fine of 210m...

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Insider Trading in the Lead-Up to the Banking Crisis

The stability of the global banking system is a top-of-mind concern for everyone right now. And as...

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Europe & UK Leading Crypto Regulation

Europe has been at the forefront regarding crypto asset regulation with its recently approved...

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Adopted SEC Rule 10b5-1 Amendments Increase MNPI Scrutiny

The U.S. Securities and Exchange Commission adopted proposed amendments to Rule 10b5-1 to enhance...

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When Does Personal Trading Become Insider Trading in Finance Firms?

The preservation of healthy financial markets relies on having safe, properly regulated...

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