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The gaming industry experienced significant growth in 2024 and became one of the largest adopters of non-fungible tokens (NFTs) and cryptocurrencies, exchanging billions of…
Fines, Penalties, and Reputational Damage… Oh My! As 2025 draws near, organizations worldwide are grappling with escalating challenges in employee compliance.
FINRA Charges Firm for Supervisory Failures In October, ViewTrade Securities, a broker-dealer, found itself facing regulatory action by FINRA, worth $40,000 in fines, for…
Preparing Compliance Teams for Emerging Challenges 2024 has been a year of maturation for cryptocurrency.
Five Key Compliance Practices for the UAE Financial Community With the UAE’s recent removal from the Financial Action Task Force’s Grey List, the region…
The Securities and Exchange Commission (SEC) has made significant strides in its enforcement efforts against insider trading, particularly in the realm of “shadow trading.
As Bonus Caps Increase, So Could Risk Barclays recently became the first major British bank to significantly raise the bonus caps for its senior…
The Securities and Exchange Commission (SEC) recently took action against a registered investment advisor, Sound Point Capital Management, for failing to have proper safeguards…
2016 to 2024: A Decade of Regulatory Transformation The world of regulatory compliance is one of constant evolution, driven not only by the ever-changing…
