Employee and Firm Compliance in 2026
Proving Controls in a Faster, More Accountable Market There are few things I enjoy more than bringing together thoughtful, experienced voices from across our…
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.
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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…
16 Types of Compliance Trainings And the Challenges That Come With Them
Compliance training is essential for maintaining legal and ethical standards within an organization while fostering a safe and supportive work environment Compliance training is…
Liability Management, Defaults, and the MNPI Risk Hiding in Plain Sight
This discussion connects the current liability management cycle with how organizations approach material, nonpublic information (MNPI), conflicts, and trading oversight.
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…
2025 in Review: Highlights From 2025 and What Comes Next
As 2025 comes to a close, we’re reflecting on 10 of our most popular blogs from the year.
Crypto in Africa: Monitoring-Ready Compliance Is Now a Must
As cryptocurrency adoption surges across Africa, the regulatory landscape is shifting from informal beginnings to a far more structured and closely watched environment.
Certifications & Attestations: Getting The Heart Of The Compliance Process Right
The case can be made that certs are where compliance starts.
SEC 2026 Examination Priorities
A Back-to-Basics Agenda with Familiar Risks Ahead What Compliance Teams Need to Know The Securities and Exchange Commission’s (SEC) Division of Examinations has released…