Compliance

In the financial industry, compliance is particularly important because of the high degree of risk involved. By ensuring that financial institutions comply with all applicable laws and regulations, compliance can help to protect investors, markets, and the financial system from fraud, abuse, and other risks.
Reiterating the importance of MiFID II in terms of...
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SEC’s and CFTC’s joint amendments to Form PF...
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The SEC’s new private fund advisor rules – a f...
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The Role of Compliance in Political Contribution M...
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Getting around compliance: The ethics of gifts and...
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Insider-trading regulation and compliance in inves...
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Ensuring data security and compliance with Confirm...
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Embracing efficiency: The shift to T+1 settlements...
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Unauthorised communication platforms: risks and st...
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