SEC Announces Spring 2022 Regulatory Agenda The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2022 Unified... READ MORE
Insider Trading, Crypto and SPACs top the SEC’s List of Concerns The U.S. Securities and Exchange Commission (SEC) recently released it’s report of enforcement... READ MORE
Insider Trading Leads to Criminal and Civil Penalties A consulting firm partner who was advising a global bank on the acquisition of a FinTech loan... READ MORE
Individuals Charged in Relation to Insider Trading in Singapore The Monetary Authority of Singapore (MAS) released a press release stating that three individuals... READ MORE
Key Factors Shaping Market Abuse Regulations During 2020, many factors have shaped the regulations and enforcement actions to maintain market... READ MORE
ESMA Publishes MAR Review Report On September 23rd, the European Securities and Markets Authority (ESMA) published a set of outcomes... READ MORE
Control Room Rules & Regulations With the increased challenges for financial Control Rooms, global regulators continue to pressure... READ MORE
5 tips to create a high impact compliance program What makes a high impact compliance program? Given the state of many corporate compliance programs,... READ MORE
