IAF Countdown
Expert Insights to Prepare for SEAR’s July Expansion With the July 2025 extension of SEAR to include Non-Executive Directors (NEDs) and Independent Non-Executive Directors…
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New Study Finds AI Adoption in Employee Compliance Set To Surge By 2030
Data Privacy Remains Key Barrier for Firms, According to StarCompliance Research Rockville, MD – April 16, 2025 – StarCompliance (“Star”), a global leader in…
FDIC & OCC Clear a Path for Bank Crypto Activity
From Caution to Confidence In a landmark regulatory shift, both the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the…
Featured Resource
Necessity Drives Innovation
In this executive brief, we reflect on the past challenges compliance teams have faced, their significant achievements, and the innovative technologies that have shaped the regulatory landscape we navigate today.
ESMA’S New Compliance & Internal Audit Review
What Fund Managers Need to Know The European Securities and Markets Authority (ESMA) has announced a Common Supervisory Action (CSA) with National Competent Authorities (NCAs) to…
Asset Management is Changing – Can Compliance Leaders Keep Their Seat at the Table?
Original article posted on Tabb Forum.
5 Must-Haves for Managing Outside Activities Before They Become Inside Problems
Side Gigs, Board Seats & Political Heat: Is Your Compliance Program Ready? A recent study by the Society of Corporate Compliance and Ethics (SCCE)…
Managing FINRA Compliance In 2025
Aligning with FINRA’s Regulatory Priorities As financial firms navigate an evolving regulatory environment, the 2025 FINRA Annual Regulatory Oversight Report offers crucial insights into FINRA’s…
FAR In Focus
One Year On – Preparing Supers and Insurers for What’s Ahead It’s been just over a year since the Financial Accountability Regime (FAR) came…
Regulatory Complexity Is Surging
How Employee Compliance Teams Can Keep Up Keeping up with the rapidly shifting regulatory landscape has never been more challenging.
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