Prediction Markets Are Now a Compliance Problem
What firms need to understand as regulators move from theory to enforcement Something significant happened at NYU Law School on March 31, 2026.
Regulations
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The Crypto Rulebook Just Got Clearer
What It Means for Compliance Now On March 17, 2026, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) released long-awaited guidance that brings greater clarity to…
Firm Trade Surveillance Under MAR: Expectations Are Rising
Since its introduction in 2016, the EU Market Abuse Regulation (MAR) has set the standard for protecting market integrity, transparency, and investor confidence.
FINRA’S Revised Gifts Rule
What the New $300 Limit Means for Compliance Programs In February 2026, the Securities and Exchange Commission approved FINRA’s amendments to Rule 3220, the…
Same Risk, Same Rules
What Global Regulators Are Signaling for Digital Assets and Tokenized Markets Over the past several weeks, regulators on both sides of the Atlantic have…
Crypto Oversight Is No Longer Optional
Survey findings reveal widening gaps in employee crypto trading compliance The Fifth Annual Crypto and Compliance Market Study from StarCompliance (Star) highlights a growing disconnect between…
Hong Kong’s Crypto Push Raises the Bar for Compliance
According to a recent article in The Block, Hong Kong is accelerating its push to become a global digital-asset hub, and regulatory expectations are rising…
What FINRA’s 2026 Oversight Report Signals for Surveillance, Market Abuse, and “Whole Program” Control
FINRA’s 2026 Annual Regulatory Oversight Report is not a list of new rules; it is a practical map of where breakdowns keep happening, and what FINRA…
Industry Update for Broker-Dealers
SEC Eases Long-Standing Global Research Settlement Restrictions The Securities and Exchange Commission SEC has formally agreed to ease the long-standing restrictions imposed under the early-2000s Global Research Analyst Settlement,…