Compliance Officers Foresee the Challenges of 2020

The year has begun, and as a compliance officer, you are probably wondering how to face the challenges of 2020. To help compliance officers the new Thomson Reuters report “10 Things Compliance Officers Need to Do in 2020” was released last week in a webinar, when Susannah Hammond, Senior Regulatory Expert for TR explained the challenges and changes for organizations of all sizes.

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Make SMCR a Top Priority Today

We are now very close to the 9th of December and the implementation of the SMCR extension. During our recent webinar "Five key steps towards SMCR compliance", we asked the attendees how ready their organization is for the 9th of December.

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Investment Bankers Charged for International Insider Trading

Two London investment bankers were charged on Monday in the US for an insider trading scheme. The prosecutors claim that the large-scale scheme generated around $10 million in illegal profit. The spokesman for the Manhattan U.S attorney could not confirm if the couple are under arrest.

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SMCR Deadline Deserves More Attention

The Halloween Brexit deadline may have captured the media’s attention as it concerns the U.K. economy for now, but solo-regulated firms should also be concerned with another frightening date. That’s according to Juan Diego Martin, COO of Fonetic, in an opinion piece he authored for the publication Markets Media. Martin says firms are likely not giving the Dec. 9th Senior Managers and Certification Regime (SMCR) implementation deadline the attention it deserves.  

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Manchester United Faces Emerging Compliance Risks

Professional football (or Soccer if you’re an American) club Manchester United plc has embarked on an impressive international expansion of its fan base the past several decades. The club currently claims 1.1 billion followers worldwide and is valued at $3.9 billion USD with a revenue of $770 million last year.  

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