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.
Navigating the intricacies of political contributions amidst the 2024 election cycle poses..
This year’s International Women’s Day theme is Inspire Inclusion -
In the US, all companies planning an initial public offering (IPO) and those with securities..
The popularity of crypto assets among the public has skyrocketed in recent years, as people become..
As mainstream adoption of digital assets increases globally, regulatory scrutiny is on the rise. As..
As the US election year heats up, addressing political contributions has come to the forefront of..
With 2024 now well underway, we take a look back at ten of our most popular blogs from 2023. From..
FINRA released their2024 FINRA Annual Regulatory Oversight Report on January 9th. There are a..
Late last year, (December 26, 2023),the Securities and Exchange Commission (“SEC”) settled charges..
The Dalai Lama's timeless advice, "Learn and obey the rules very well so you will know how to break..
Compliance is a hard job. Plain and simple. In recent years it seems that many of those within the..
When it comes to the monitoring of employee conflicts relating to gifts and entertainment (G&E),..