FINRA Rule 3220: The Gifts Rule FINRA Rule 3220, also known as the Gifts Rule, prohibits the use of giving gifts and entertainment... READ MORE
Compliance Checklist for Registered Investment Advisers First and foremost, Registered Investment Advisers (RIAs) are held to a standard of fiduciary duty... READ MORE
Pay to Play Compliance - Understand the Impact of Political Donations SEC Rule 206(4)-5, commonly known as the pay-to-play rule, along with FINRA Rule 2030 and FINRA... READ MORE
Smarter Ethics and Conduct Risk Management for GCC The regulatory environment for financial institutions in the GCC (Gulf Cooperation Council) region... READ MORE
Conviction of Former Judge Over Insider Trading in Japan The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4... READ MORE
AI & The Compliance Officer: Secret Weapon or Liability? The compliance landscape is shifting at warp speed. Gone are the days when compliance officers... READ MORE
Managing Insider Information is the Key to Managing Trading Risk Employees who work at firms in the financial services industry are privy to sensitive information... READ MORE
Ready for the Switch to FINRA APIs? We’ve Got You Covered! As FINRA phases out WebEFT, financial institutions face the daunting task of migrating to FINRA's... READ MORE
