When Market Momentum and Compliance Collide
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…
Regulations
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.
Category
Industry
Consumer Duty Still Challenging For Many Firms
StarCompliance Responds with Sales Compliance Review The UK’s Financial Conduct Authority (FCA) has made it clear: under Consumer Duty, firms must put fairness, transparency,…
SMCR Is Evolving – Accountability Still Leads The Way
Over the next 18 to 24 months, the UK’s Senior Managers and Certification Regime (SMCR) is expected to undergo reform.
FCA Raises The Bar For Senior Management Applications
What Firms Need to Know to Stay Compliant The Financial Conduct Authority (FCA) has issued new guidance aimed at improving the quality and consistency…
Project Crypto: The SEC’s Regulatory Reboot for the Digital Asset Era
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.
Navigating MiCA Compliance: Practical Strategies for Crypto Asset Service Providers
Key Takeaways: The regulatory landscape for cryptocurrency is evolving quickly, and the European Union’s Markets in Crypto-Assets (MiCA) framework is at the forefront of…
The Cost Of Insider Trading Non-Compliance
A Rule 10b5-1 Cautionary Tale When used properly, the U.S.
Crypto And Retirement Plans
Department of Labor Rescinds 2022 401(k) Guidance Hardly a day goes by without a seismic shift in global financial regulation, and nowhere is the…
In The Room Where It Happened…
Industry Leaders Exchange Insights About the Future of Compliance There are moments when you find yourself listening in on a conversation so full of…