The Weak Link in Surveillance: Validating Models for Effective Detection

This FCA Market Watch is a wake-up call for firms! Firms must build and validate their surveillance models to ensure they function in the correct manner to surface the desired risk.

Navigating Employee Compliance: 12 Best Practices and Strategies

Effective employee compliance programs are vital for safeguarding a company’s reputation and reducing legal risks, as well as risks to employees themselves.

Voting Leave Notices Are Essential For Upholding Employee Rights

U.S. employers are required to post voting leave notices in their workplace or make them available to remote employees. Find notices for CA, NY, and DC.

 Managing The Rollout of Whistleblower Protection in the European Union

NOT ALL ROADS LEAD TO ROME…  The EU Whistleblower Directive, introduced in 2019, provides a critical framework for protecting individuals who expose illegal activities…

Shadow Trading Confirmed!!! Are You Ready???

Shadow trading is here to stay. Star expert, Steve Brown, discusses the recent SEC v. Panuwat case and what that means for your firms' compliance program.

“Doing More With Less: Simple Ways To Reduce Workload While Remaining Compliant” – 3 Key Webinar Takeaways

Find out these 3 key takeaways from our recent webinar delving into the impact of this reality on firms' operations and explores strategies they can use to strengthen their compliance program

The Challenges of an Election Year: Monitoring Political Contributions in 2024

Navigating the intricacies of political contributions in the 2024 election cycle poses a challenge for compliance teams trying to mitigate risks.

Financial Advisor Compliance Checklist

Financial advisors play a pivotal role in maintaining compliance within the financial services industry while managing their client portfolio.

Going Public in 2024? Don’t Forget Your SOX Whistleblowing Obligation

In the US, all companies planning an initial public offering (IPO) and those with securities outstanding must comply with the whistleblowing requirements of the…