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Star viewpoint

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.

Preparing For An External Audit: Part Two

The step-by-step of what to expect in an external exam and how best to prepare

Preparing For An External Audit: Part One

What triggers an audit, what regulators are looking for, and regulatory remits

FCA Sector Views: The State Of Wholesale Financial Markets

This critical sector is healthy as a Brexit-free horse, at least for the moment

FCA Sector Views: The State Of Investment Management

The sector is experiencing substantial growth, but challenges loom

Surfing The Tsunami Of Regulation

A guide to riding the global tidal wave of financial regulation 

Australia Update: The Royal Commission On Financial Services Has Its Say

And what it has to say is encouraging, seen in the right light

South Africa: Twin Peaks Is Up And Running

The country's new regulators are in place and represent a decisive shift in regulatory approach

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

Under Review: Deferred Prosecution Agreements In The UK

DPAs remain popular enforcement mechanisms around the world, but questions linger

New Deadline For New York Data-Security Law

September 1 is the next important date to keep in mind for 23 NYCRR §500

Hong Kong: Six Changes Coming To The FMCC

As with financial regulation anywhere, the burden to comply rests primarily with the regulated