Company Blog

What are the Core Functions of Compliance?

Oct 23, 2018

What is the role of compliance? If you ask that question of employees and senior leaders in some firms, you might hear “to enforce the …

Are You Able to Accurately Monitor Employee Political Contributions?

Oct 12, 2018

With the 2018 midterm elections right around the corner, fundraising efforts are continuing to ramp up for political candidates on both sides of the aisle. …

Is your Compliance Department prepared to show its work?

Oct 12, 2018

When the regulators come calling (and they will come calling, eventually), how will you demonstrate your firm’s compliance with applicable regulations? What if, instead of …

Defining “Success” for Compliance Officers

Sep 19, 2018

How do you measure your professional success as a Compliance Officer? A lack of regulatory actions should not be taken alone as proof that a …

C-Suite Exposure to Market Abuse: Mitigating the Risk

Sep 6, 2018

While most of the attention of regulators is focused on market abuse by regulated financial services firms, the full range of publicly listed companies are …

Considering the Case for Compliance on the Board?

Aug 28, 2018

Historically, members of financial services firms’ boards of directors haven’t had much direct compliance experience. Instead, directors were chosen based on their broad business acumen. …

Is Compliance Expertise Required at the Board Level?

Aug 21, 2018

Historically, members of financial services firms’ boards of directors haven’t had much direct compliance experience. Instead, directors were chosen based on their business acumen. That …

Reducing the Burden of Rule 17j-1 Compliance

Jul 30, 2018

If your firm is subject to Rule 17j-1 (Personal investment activities of investment company personnel), it’s probably not the compliance team’s favorite rule. Rule 17j-1, …

Best Practices for Educating Your Employees on Gifts & Entertainment Compliance

Jun 29, 2018

When Compliance Officers build and assess their firms’ compliance programs, there is often significant emphasis placed on ensuring codes of ethics, outside business activities oversight, …

MiFID II: Is Your Firm Prepared to Track Corporate Access Events and Participation?

Jun 26, 2018

The Financial Conduct Authority (FCA) has been reviewing the effects of the Markets in Financial Instruments Directive II (“MiFID II”) on the behaviour of market …

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