With the recent spree of SEC enforcement around the management and preservation of eComms—to the tune of more than $1.5 billion dollars—now is the time for firms to be thinking about best practices for managing digital communications.
With the recent spree of SEC enforcement around the management and preservation of eComms—to the tune of more than $1.5 billion dollars—now is the time for firms to be thinking about best practices for managing digital communications.
There’s no question that fostering an ethical compliance culture is a regulatory imperative. Regulators and compliance experts have been talking about it for years. And while terms like culture of compliance and tone from the top are often used in discussion, maybe even to the point of cliché, it remains a real challenge for many firms to apply the concepts in a practical way.
A glance at the U.S. Securities and Exchange Commission's Rulemaking Index shows activity on over a dozen rules before the first half of 2023 is even over. That level of activity continues the momentum from 2022, which saw 34 rules proposed or finalized. With so much activity across a wide range of regulations, how can firms keep pace?
The Markets in Crypto-Assets (MiCA) regulation, set to be implemented in early 2024, is poised to revolutionize the European crypto-asset landscape. The legislation’s primary objective is to balance safeguarding investors and promoting financial stability, while nurturing innovation and bolstering the appeal of the crypto-asset sector.
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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