MyComplianceOffice Blog

Insider dealing is a perennial concern for regulators around the globe. Agencies like the SEC, the FCA, BaFin and the AMF are using the latest technology to detect insider trading, misuse of insider information and market abuse. Regulators increasingly expect as well that firms will have the latest technology in place in order to demonstrate that they are taking a comprehensive and proactive approach to managing access to insider information and employee personal account dealing compliance.

Temperatures are hot across the United States right now – and so is U.S. Securities and Exchange Commission (SEC) enforcement activity. The last few weeks have seen a flurry of Insider Trading actions from the U.S. Securities and Exchange Commission and the Department of Justice against individuals ranging from a Chief Compliance Officer to a Chief of Police.

Recent enforcements by the Monetary Authority of Singapore (MAS) highlight the need for SGX-listed companies to actively work against conflicts of interest within their organisations and maintain robust corporate compliance processes.

The stability of the global banking system is a top-of-mind concern for everyone right now. And as the world worries about bank liquidity and the safety of their deposits, a handful of executives have been using access to insider information to turn staggering profits by selling off company stock.

Europe has been at the forefront regarding crypto asset regulation with its recently approved Markets in Crypto Assets (MiCA) legislation, which goes into effect in phases starting in 2024. It represents the most significant attempt by global governments to regulate the growing market for digital assets.