Publications

Article 09 Feb 2021 11 minutes read

Have You Seen the Most Recent FCPA Resource Guide Update?

The Foreign Corrupt Practices Act is a United States law that prohibits any US individual/firm from paying bribes to foreign officials to obtain business. Enacted in 1977, after hundreds of US companies admitted to paying millions in bribes and kickbacks to foreign officials.

Article 21 Jan 2021 6 minutes read

Hong Kong SFC Tightens Virtual Asset Regulations

Following the Securities and Futures Commission’s introduction of virtual asset exchanges regulatory regime in November 2019, the FSTB has recently issued a consultation proposing a new licensing regime for VA exchanges under the Anti-Money Laundering and Counter-Terrorist Financing Ordinance.

Article 07 Dec 2020 10 minutes read

Broker-Dealer Regulatory Briefing Q3 2020

Despite the COVID-19 pandemic disturbing many normal processes in 2020, regulators have adapted and continued their enforcement activity throughout the year. In this article, we’ve covered key SEC and FINRA enforcement trends observed in the third quarter of the year.

Article 05 Nov 2020 9 minutes read

Data Governance: Maximizing the Value of Data

Investing for the Future

Article 30 Oct 2020 15 minutes read

Does Your Broker-Dealer Have an Adequate Supervisory System in Place?

Broker-Dealer Supervision Guide

Article 20 Oct 2020 7 minutes read

Covid-19 Has Not Stopped Regulators Progressing on Data Privacy Laws

This article covers the key latest data privacy regulations for China, Hong Kong, Japan, South Korea and Singapore in 2020.