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…
Regulations
Get the latest insights, news and opinion from the compliance technology specialists. Find out what’s new, what’s changing and what the future holds in the world of corporate compliance, market abuse and conflict of interest regulations and technology.
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The Past, Present & Future of Political Donations
How the SEC’s ‘Look Back’ Provision Can Affect Employee Compliance Recently, the US Securities and Exchange Commission (SEC) charged Obra Capital Management, LLC with…
Best Practices for Adhering to IAF Regulations
With regulations constantly changing worldwide, understanding Ireland’s Central Bank’s IAF (Individual Accountability Framework) instituted in March 2023 is crucial for business.
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…
Crypto Compliance: Brace Yourself, The Regs Are Coming!
Getting Ready for Employee Regulatory Compliance Around Crypto and Digital Assets Trading As the world of crypto and digital assets continues to expand at an…
Understanding the Evolving Role of Compliance Officers & the Liability Risks
CCOs play a critical role in developing strong systems of controls to prevent violations of federal securities laws.
The Trades Are Coming from Inside the Company
Navigating Insider Trading Through the Power of Compliance Technology In the complex world of financial markets, maintaining compliance with insider trading regulations is crucial…
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…
FINRA Gift Rules and Monitoring
Gift-giving and entertaining—commonly known as “wining and dining”—have long been integral to business practices, serving to build relationships and facilitate negotiations.