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,…
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…
As cryptocurrency adoption surges across Africa, the regulatory landscape is shifting from informal beginnings to a far more structured and closely watched environment.
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…
As digital assets move from hype to the heart of global finance, Japan is drawing a line between innovation and integrity as they take a decisive step forward.
Compliance Lessons from Emerging Prediction Markets As prediction markets gain mainstream traction, regulators and compliance professionals alike are grappling with a fundamental question: who has jurisdiction? The…
MiCA, MFSA Oversight, and Practical Compliance Tech With the European Union’s Markets in Crypto-Assets (MiCA) regulation now in a transitional (“grandfathering”) period, Malta has…
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…
