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
Your Data And Your Compliance Software: Where Should It All Live?
Onsite and offsite hosting each have their own distinct advantages and disadvantages. Here's..
Brazil's Clean Company Act Is Here To Stay
Optimizing your compliance program for Law No. 12,846
First Look: The California Consumer Privacy Act
Will it become a legislative model for the rest of the country? It may not matter
Optimizing Your Certifications Process
From prep-work to software, five steps to a more efficient and more effective process
