Automatically pre-clear client gifts or entertainment to prevent breaches of anti-bribery regulations.Outside Activity
Avoid regulatory compliance breaches arising from employee external business activities.Private Investments
Simplify the declaration of employee private investments with outside organizations.Insider Trading
Actively manage employee trading in the context of current market activity and news events to guard against insider trading and protect your company’s reputation.Political Donations
Save time and resources safeguarding your business from conflicts of interest arising from political alignments or associations among employees worldwide.
28 Mar, 2023
The process of registering for and obtaining a financial securities license can be a complex and time-consuming nightmare. In the US, individuals selling investments professionally are required to obtain a securities license from FINRA. This is a multi-step process where securities professionals must pass qualifying exams, in which there are different levels, to demonstrate their competence before they are allowed to engage in certain securities activities. If firms fail to stay ahead, not only is it costly for them to pay for the reopening of exam windows or late filings, but also the loss of time from being unable to capitalize on the activities of their registered representatives.
15 Mar, 2023
When a biopharmaceutical industry executive reportedly learned in 2016 that a rival planned to buy the company he worked for, he is alleged to have bought options in another competitor’s stock prior to the news of the acquisition going public. This led to him being accused by the SEC in 2021 of insider trading. But while the SEC prosecutes approximately 50 insider trading cases a year, this was not the typical misappropriation of information or tipper/tippee liability but an instance of what has since been dubbed ‘shadow trading’.
08 Mar, 2023
International Women’s Day is a time to reflect on the advances that women have made in society and culture and to recognise the challenges we still need to overcome.