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.
Push people into a financial corner and they can justify all kinds of conduct they might not..
Advisers Act Rule 206(4)-5 isn't breaking news, but is serious enough to warrant a refresher
This week, Elinphant CEO Elin Cherry lends us her expertise in handling this increasingly common..
The latest MiFID makes trade surveillance a priority. We drill down and help you get your head..