A Cautionary Tale For Broker-Dealers
FINRA Charges Firm for Supervisory Failures In October, ViewTrade Securities, a broker-dealer, found itself facing regulatory action by FINRA, worth $40,000 in fines, for…
Employee Conflicts of Interest
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Crypto Institutionalizes and Matures
Preparing Compliance Teams for Emerging Challenges 2024 has been a year of maturation for cryptocurrency.
Creating A Resilient Employee Compliance Program Now and For The Future
Five Key Compliance Practices for the UAE Financial Community With the UAE’s recent removal from the Financial Action Task Force’s Grey List, the region…
Shadow Trading Part Deux: SEC Doubles Down on Shadow Trading Theory
The Securities and Exchange Commission (SEC) has made significant strides in its enforcement efforts against insider trading, particularly in the realm of “shadow trading.
Using Data to Monitor Employee Conduct in the Wake of Bonus Cap Increases
As Bonus Caps Increase, So Could Risk Barclays recently became the first major British bank to significantly raise the bonus caps for its senior…
SEC Cracks Down on CLO Manager’s Insider Trading Controls
The Securities and Exchange Commission (SEC) recently took action against a registered investment advisor, Sound Point Capital Management, for failing to have proper safeguards…
Answering the Needs of the Global Compliance Market
2016 to 2024: A Decade of Regulatory Transformation The world of regulatory compliance is one of constant evolution, driven not only by the ever-changing…
Regulations Ahead… Time to Plan Accordingly
Setting Aside Budget for Employee Compliance Efforts
A Decade of Transformation in Financial Services
How the period between 2009 and 2015 shaped the future of employee compliance The 2008 financial crisis, a watershed moment for global economies, precipitated…