ComplySci: The Best of 2016

2016 was a busy year for us here at ComplySci, creating regular content for our community of risk and compliance professionals. For highlights of the best webinars, white papers and blog posts of 2016, see below. Webinars In 2016, ComplySci conducted seven webinars...

Brexit Conundrums: The Myths, Realities and Challenges of Equivalency

The process of making Brexit actually happen is daunting, involving millions of pages of rules, regulations, legislative actions and a heavy dose of politics. Getting it right will be difficult and getting it wrong will be easy, though with dire consequences. Nowhere...

Reasonable Steps

Commentary by Ronald Gould, European Chairman, ComplySci, Ltd.   Lets go on a bit of time travel – it’s June 2018 and the UK Senior Managers Regime now applies to all financial sector firms, large and small – that’s over 35,000 by the way.  Many thousands of...
FCA Tackles Insider Trading Head On

FCA Tackles Insider Trading Head On

Over the last year, the FCA has been handing out fines at an unprecedented rate in an attempt to clamp down on insider trading. In May 2016, following an eight year investigation costing £14 million (one the FCA’s longest running and most complex insider trading cases...
My Top 3 Takeaways – NSCP National Conference 2016

My Top 3 Takeaways – NSCP National Conference 2016

Commentary by Scott Seibel, Vice President, ComplySci If you missed this year’s NSCP Annual Conference in Washington, D.C., it can be summed up with one key word – technology. In fact, technology has become such a key component to the compliance industry that the...

Private Equity Meets Compliance: A Toolkit for Success

This webinar occurs on December 1, 2016 @ 11:00am PT / 2:00pm ET / 7:00pm GMT Join ComplySci and FrontLine Compliance for a webinar on issues at top of mind for Private Equity firms of all sizes and complexities. As SEC registered PE firms continue to comprehend and...
The Supreme Court Takes on Insider Trading

The Supreme Court Takes on Insider Trading

The United States government is taking another pass at defining what exactly constitutes insider trading – and nearing resolution on one aspect of this challenge at the highest of legal authorities, the Supreme Court. What began in 2014 with the highly publicized...