The CFTC’S New Crypto Market Rules
Explore the CFTC’s proposed crypto market rules and what they could mean for employee trading, conflicts of interest, MNPI oversight, and compliance teams managing new digital asset risks.
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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SEC Sets Its Sights on 2027
Explore the SEC's 2027 Examination Priorities, key regulatory focus areas, emerging risks, and how firms can strengthen compliance oversight and prepare for evolving expectations.
23 Hours a Day: When the market never sleeps, your controls may need a wake-up call
The shift toward 23-hour trading is challenging traditional compliance boundaries and requiring firms to rethink how policies, pre-clearance, surveillance, and controls operate in an increasingly always-on market.
Preparing For The Surge
Explore four key insights on how compliance teams can adapt policies, personal account dealing, and surveillance for prediction markets, digital assets, and tokenization.
New Markets, Familiar Risks: Rethinking Employee Compliance
Explore four key insights on how compliance teams can adapt policies, personal account dealing, and surveillance for prediction markets, digital assets, and tokenization.
When Compliance Demands Grow Faster Than Your Team
Discover how growing financial firms can use technology and automation to reduce manual work, increase compliance capacity, and strengthen oversight as their needs evolve.
Celebrating Compliance as a Strategic Force
In recognition of International Compliance Officer Day on September 26, explore the growing strategic role of compliance and the value these professionals bring to stronger, more resilient firms.
Beyond the Brokerage Feed
New enforcement activity highlights why firms need greater visibility into employee trading across digital assets, decentralized exchanges, and prediction markets.
When Accountability Fails
Explore what a recent FCA enforcement action reveals about the importance of strong SMCR management, individual accountability, and effective governance.