How to Embed the New Individual Accountability Framework Effectively

In July 2018, the Central Bank of Ireland (CBI) proposed an Individual Accountability Framework (IAF), which includes the Senior Executive Accountability Regime (SEAR) to be modelled on the UK's Senior Managers and Certification Regime (SMCR).     

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Market Abuse Regulations - A Look Back and Ahead

Regulators around the world are concerned with the risk of market abuse and market manipulation.

Market Abuse Regulations, includingMAR in the UK, the EU Market Abuse Regulation and Section 204A of the Investment Advisers Act of 1940 in the US, prohibit insider dealing, unlawful disclosure of inside information, and market manipulation.   

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Beyond the Headlines: Crypto and Digital Asset Compliance

In a recent interview with Yahoo Finance, United States Securities and Exchange Commission Chair Gary Gensler said that he has one goal for crypto regulation in 2023 – “making crypto exchanges and lending platforms come into compliance.”

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SEC Examination Priorities and the APAC Impact in 2023 - Webinar

Each year, the SEC sets out a number of key priorities for their regulated entities.

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Strategies for Gifts and Entertainment Compliance

A recent survey by Coresight Research estimate that the corporate gift giving market in the U.S will reach $258 billion in 2022.  That's a lot of potential gifts sent to employees, customers and vendors - and a lot of potential opportunity for conduct risk.

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