Compliance Insights

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...

READ MORE

Europe & UK Leading Crypto Regulation

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

READ MORE

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...

READ MORE

SEC Focuses on MNPI and Code of Ethics Issues

The SEC issued the Risk Alert Investment Adviser MNPI Compliance Issues to provide investment...

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

Technology Helps Firms with Remote Work Compliance

Remote work is a part of the current normal in the financial services industry, in the short term...

READ MORE

SEC Finds Deficiencies in Disclosing Conflicts of Interest and MNPI

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange...

READ MORE