A-Z List of Financial Regulators In the dynamic landscape of financial services compliance, multiple global regulators play a... READ MORE
HK SFC to Bolster Enforcement of Cross-Border Insider Trading Hong Kong’s Securities and Futures Commission (SFC) has published its consultation conclusions on... READ MORE
MAS Guidelines: Expectations of FIs' Advisory Activities for IPOs It has been a lukewarm first quarter of 2023 for the global Initial Public Offering (IPO) market.... READ MORE
Summary: SFC Consultation Conclusions for VA Trading Platforms After challenges with strict COVID restrictions and political issues in the last several years,... READ MORE
Hong Kong SFC to Regulate Virtual Asset Trading Platforms The virtual asset market has seen its share of upheaval recently. By the end of 2022, the global... READ MORE
Authority, Ability & Responsibility: Keys to CCO Liability If you’re in Compliance, you know the crucial role that the Chief Compliance Officer plays in... READ MORE
FCA Fines Asset Management Firm and Employee for Conflicts of Interest The UK Financial Conduct Authority (FCA) has clearly set expectations to ensure that asset managers... READ MORE
The Compliance Challenges Firms Need to Tackle Conduct risk issues including employee compliance, transaction surveillance and third party risk... READ MORE
The SEC and the “RIC-ification” of Private Funds Have recent proposals foreshadowed a fundamental change to the regulation of private funds in the... READ MORE
