Australia Update: The Royal Commission On Financial Services Has Its Say
Ans what it has to say is encouraging, seen in the right light
5 Key Takeaways From The Star US User Conference
StarCompliance held its 2018 US User Conference last week in Washington, D.C.
South Africa: Twin Peaks Is Up And Running
The country's new regulators are in place and represent a decisive shift in regulatory approach
How Do I Manage Outside Business Activities?
A guide for compliance officers in enterprise financial firms
How Do I Manage Personal Trading?
A guide for compliance officers in enterprise financial firms
UK Compliance Update: The FCA Finalizes Its SM&CR Regime
47,000 firms will be affected by the new regulations, as well as countless individual employees
How Do I Manage Gifts And Entertainment?
A guide for compliance officers in enterprise financial firms
Under Review: Deferred Prosecution Agreements In The UK
DPAs remain popular enforcement mechanisms around the world, but questions linger
How Do I Manage Political Donations?
A guide for compliance teams operating in enterprise financial institutions
New Deadline For New York Data-Security Law
September 1 is the next important date to keep in mind for 23 NYCRR §500
The History Of Financial Fraud In 25 Recurring Behaviors
When it comes to market misconduct, the more things change the more they stay the same
Hong Kong: Six Changes Coming To The FMCC
As with financial regulation anywhere, the burden to comply rests primarily with the regulated
