The US Securities and Exchange Commission has published its rundown of Examination Priorities for Fiscal Year 2025.
The 2025 Exam priorities provide an outline of the questions and proof points that regulators will likely be evaluating during examinations. Reviewing the priorities will allow CCOs to assess their compliance programs to ensure that they have the required policies, procedures and controls in place—and that there are systems in place to easily evidence compliance.
The holiday season will be here before we know it! And that means gifts and entertainment activities that might be putting your organization at risk. It's important to remember that those gift and entertainment compliance concerns don't end when the holidays are over. Taking a mindful approach to both the giving and receiving of gifts and entertainment can help firms stay on top of compliance throughout the year.
The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for concealing a significant trade execution error and only reporting the incident to management and compliance 4 days later.
In honor of National Compliance Officer's Day, we wanted to share the many reasons why we love compliance officers. Read on for our top ten!
With no end in sight to the consistent and costly enforcement, are your books and records ready to stand up to regulatory scrutiny?
