The FCA relies on accurate and timely information from financial firms in order to identify..
Bribery and corruption, unfortunately, pose a risk in any business dealings, but the lines can blur..
When MiFID II was introduced in 2018, it dramatically altered the way sell-side research was issued..
In the UK, the Financial Conduct Authority (FCA) is looking to bring higher and clearer standards..
Gift-giving and entertaining — perhaps more commonly known as “wining and dining” — have been..
The recent failures of two US banks along with the rescue of a large Swiss bank and ongoing..
As legislation expands and resources contract, corporate compliance officers find themselves under..
The process of registering for and obtaining a financial securities license can be a complex and..
When a biopharmaceutical industry executive reportedly learned in 2016 that a rival planned to buy..
International Women’s Day is a time to reflect on the advances that women have made in society and..
Regulated firms in financial services are subject to very prescriptive anti-market abuse regimes..
Solutions can remain in place for years. Here's how to choose one you can live with
