Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
FINRA brought 126 enforcement actions and issued fines totaling almost $100M in 2021. In comparison, FINRA only issued a total of $57M in fines during 2020.
FINRA Regulatory Notice 22-10 reminds members of their liability if they fail to discharge Rule 3110 about designated supervisory responsibilities.
Responding to the Russia-Ukraine conflict, the UK Government has imposed sanctions on Russia. FCA-regulated firms are obligated to implement systems and controls to prevent financial crime. With the authorities increasing their focus on financial sanctions, download our checklist to be sure you are considering key tasks.
- Managed Services
On March 30, 2022, the U.S. Securities and Exchange Commission’s Division of Examinations released its FY2022 Examination Priorities. Read our insights.
This application of the “misappropriation theory” of insider trading is a reminder to assess whether MNPI is material to the value of shares of public companies.