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.
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…
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 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…
Tokenization, the process of issuing traditional financial assets such as equities, funds, or real estate on blockchain infrastructure, has quietly moved from theoretical to…
U.S. and U.K.
Unusual Trading Ahead of Crypto-Treasury Deals Draws Regulatory Scrutiny The announcement of Project Crypto by the Securities and Exchange Commission (SEC) Chairman Paul Atkins in July signaled…
The Global-Local Demands of Compliance Officers Global firms face an ongoing challenge: how to maintain consistency across their compliance programs while adapting to the…
In the constantly shifting landscape of crypto regulation, clear leadership and forward-thinking policies are more essential than ever. On July 31, 2025, U.S.
New regulatory compliance challenges emerge On Thursday, August 7, an executive order was signed permitting alternative assets such as private equity, cryptocurrencies, and real…
