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MNPI Remains a High Risk Area for Compliance

Failing to adequately manage Material Non-Public Information (MNPI) remains a high risk area for compliance, as evidenced by recent actions in the U.S. and the U.K. A private equity firm paid $1 million to settle SEC charges for failing to implement effective Insider Trading compliance policies. The FCA published a Decision Notice fining a former CEO £658,900 for market abuse and banning him from future roles linked to regulated activity.

To avoid hefty fines and actions, firms must have comprehensive and actionable policies and procedures around the management of MNPI and insider lists to minimize risk.

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Using Technology to Build a Culture of Compliance

Compliance professionals are aware that creating a strong culture of compliance should be a priority for their organizations. Yet what exactly does that mean for firms—and how can they prove to regulators that a culture of compliance is in place? That’s a question that I cover frequently with the firms that I work with.

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Constraints and Pressures Facing Compliance Today

What are the most significant pressures facing compliance programs in 2021? And where are the largest constraints? An audience of Chief Compliance Officers and General Counsel were asked those questions during the during the webinar Compliance Budgeting: Reducing Risk by Doing More With Less.

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Financial Services Firms Suspend or Review Political Contributions

The aftermath of the political unrest at the U.S. Capitol last week has seen many Financial Services firms putting the brakes on political contributions and reviewing their political donations policies. With the industry already expecting stricter rules and regulations in the new administration, it’s critical that firms have a solid understanding of the impact of political contributions on their organizations.

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FASEA Requirements & Code of Ethics for Financial Advisers

The Financial Adviser Standards and Ethics Authority (FASEA) sets education, training and ethical standards for the financial services industry. The body approves qualifications and exams, develops the Code of Ethics, and sets CPD requirements for licensed financial advisers in Australia.

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