Crypto Institutionalizes and Matures
Preparing Compliance Teams for Emerging Challenges 2024 has been a year of maturation for cryptocurrency.
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
What A New Administration Taking Office in January Could Mean For Regulatory Compliance
Can The Past Inform The Future? With a new administration on the horizon, businesses are bracing for significant changes that could reshape the regulatory…
Shadow Trading Part Deux: SEC Doubles Down on Shadow Trading Theory
The Securities and Exchange Commission (SEC) has made significant strides in its enforcement efforts against insider trading, particularly in the realm of “shadow trading.
Using Data to Monitor Employee Conduct in the Wake of Bonus Cap Increases
As Bonus Caps Increase, So Could Risk Barclays recently became the first major British bank to significantly raise the bonus caps for its senior…
Understanding Foreign Corrupt Practices Act Compliance in 2025: Everything You Need To Know
By discouraging bribery as a method of gaining competitive advantage, the FCPA helps level the playing field for all businesses — which, in turn,…
The Past, Present & Future of Political Donations
How the SEC’s ‘Look Back’ Provision Can Affect Employee Compliance Recently, the US Securities and Exchange Commission (SEC) charged Obra Capital Management, LLC with…
Best Practices for Adhering to IAF Regulations
With regulations constantly changing worldwide, understanding Ireland’s Central Bank’s IAF (Individual Accountability Framework) instituted in March 2023 is crucial for business.
SEC Cracks Down on CLO Manager’s Insider Trading Controls
The Securities and Exchange Commission (SEC) recently took action against a registered investment advisor, Sound Point Capital Management, for failing to have proper safeguards…
Crypto Compliance: Brace Yourself, The Regs Are Coming!
Getting Ready for Employee Regulatory Compliance Around Crypto and Digital Assets Trading As the world of crypto and digital assets continues to expand at an…