Why Private Investments and Outside Activities Matter More Than Ever
As we begin 2026 and prepare for a busy year ahead, it is a great time for compliance teams to take stock of their employees’ private investments and outside activities.
Employee Conflicts of Interest
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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Industry
Industry Update for Broker-Dealers
SEC Eases Long-Standing Global Research Settlement Restrictions The Securities and Exchange Commission SEC has formally agreed to ease the long-standing restrictions imposed under the early-2000s Global Research Analyst Settlement,…
A Wake-Up Call From The FCA
Is Your Insider-Trading Program Ready? The UK’s Financial Conduct Authority (FCA) has recently charged two individuals with insider dealing after identifying suspicious trading linked to confidential takeover information.
The UK’s 2025 Crypto Regulatory Overhaul
Why MARC Signals a New Era for Market Integrity and a New Mandate for Compliance Teams Note: The overview of key regulatory developments was provided…
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.
Digital Asset Treasuries: The New Balance Sheet Bet – And The Compliance Gap
Corporate treasuries are quietly transforming.
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…
Deal Momentum Is Back… So Is the Need for Strong MNPI and Watch List Controls
After months of muted activity, global M&A and leveraged finance markets are finally gaining momentum.