Blog

As the US election year heats up, addressing political contributions has come to the forefront of..

BEST PRACTICES, POLITICAL DONATIONS

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..

REGULATION, EMPLOYEE CONFLICTS OF INTEREST, INSIDER TRADING, CRYPTO

Late last year, (December 26, 2023),the Securities and Exchange Commission (“SEC”) settled charges..

MNPI & Enterprise Conflicts

The Dalai Lama's timeless advice, "Learn and obey the rules very well so you will know how to break..

EMPLOYEE INCIDENT & POLICY MANAGEMENT

Compliance is a hard job. Plain and simple. In recent years it seems that many of those within the..

EMPLOYEE CONFLICTS OF INTEREST

When it comes to the monitoring of employee conflicts relating to gifts and entertainment (G&E),..

EMPLOYEE CONFLICTS OF INTEREST, POLITICAL DONATIONS, GIFTS AND ENTERTAINMENT

In September this year, the Securities and Exchange Commission (SEC) filed a civil lawsuit against..

MNPI & Enterprise Conflicts

OVERVIEW

REGULATION, EMPLOYEE CONFLICTS OF INTEREST

Since the 2019 EU Whistleblowing Directive came into effect, European authorities have continued to..

WHISTLEBLOWING, INCIDENT AND POLICY MANAGEMENT

After the Central Bank of Ireland’s Individual Accountability Framework (IAF) was signed into law..

SEAR, INDIVIDUAL ACCOUNTABILITY

Renowned for its modern infrastructure and dazzling architecture, the United Arab Emirates (UAE) is..

INDIVIDUAL ACCOUNTABILITY, UAE