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…
Best Practices
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.
Category
Industry
Asset Management is Changing – Can Compliance Leaders Keep Their Seat at the Table?
Original article posted on Tabb Forum.
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…
Regulatory Complexity Is Surging
How Employee Compliance Teams Can Keep Up Keeping up with the rapidly shifting regulatory landscape has never been more challenging.
Mastering Compliance Complexities In Asset Management
Effectively Managing MNPI, Market Sounding and Regulatory Challenges The asset management market is experiencing explosive growth, projected to surge from $503.
Beyond Celebration: A Call to Action for International Women’s Day
International Women’s Day isn’t just about recognition—it’s a call to action.
Navigating the Complexities of Market Abuse Regulations in the EU and UK
The Market Abuse Regulation (MAR) is a critical framework designed to combat market manipulation and insider trading across the EU and UK.
Your Employees Are Probably In The Crypto Markets. Here’s What To Do
Cryptocurrency has come a long way since the advent of Bitcoin. As of early 2025, CoinMarketCap, a leading market tracker, currently lists over 2.
Shedding More Light on the World of Shadow Trading: So Many Questions… We’ve Got The Answers
During our recent webinar, A Regulator & A Prosecutor Walk Into A Bar: Shadow Trading Unveiled, hosted by StarCompliance (Star) for the regulatory compliance community,…