Compliance

December 21, 2020

The 5 Biggest Compliance Fines of 2020

October 14, 2020

5 Practical Ways to Keep Up with Regulatory Changes 

September 29, 2020

Policy Management Matters – Getting It Right

September 16, 2020

Legal Basics for Compliance Professionals: Power of Attorney

September 7, 2020

How Zoom + Smarsh Helps Financial Firms Maintain Work-from-Home Compliance

March 17, 2020

The Best Compliance Books

November 27, 2019

Future Compliance Careers: The Artificial Intelligence Compliance Officer

July 17, 2019

All you need to know about the new Guidelines on the MiFID II compliance function requirements

February 2, 2018

Compliance fundamentals for Hedge Funds

February 9, 2017

In a nutshell: The new rules on Complaints Handling under MiFID 2