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The Business Risk of Encrypted Chat Apps
By Chip Jones on January 14, 2022

The Securities and Exchange Commission (SEC) recently announced that J.P. Morgan Securities LLC agreed to pay $125 million after admitting to widespread and longstanding failures to...

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Compliance, ESG

Fossil Fuels Pose New Compliance Headaches for Hedge Funds
By Alex Viall on January 7, 2022

The divestment from fossil fuel assets has been an ongoing trend for nearly a decade. Today that push to divest has engulfed a myriad of public institutions, from universities to pension...

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The SEC Turns Its Sights On Crypto
By Chip Jones on December 13, 2021

The U.S. Securities and Exchange Commission’s (SEC) public meeting earlier this month, centered around crypto and digital assets, should put companies operating in the space on notice of...

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Compliance, Records Retention, Technology

The Gartner® Top Strategic Technology Trends for 2022
By Global Relay on December 8, 2021

In its recently launched Top Strategic Technology Trends for 2022™ report, Gartner® reveals 12 key technology trends that organizations will need to explore over the next year and...

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Compliance, ESG

Fund Managers Should Pay Attention To Warning Signals From COP26
By Alex Viall on November 19, 2021


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Market Abuse Risk in Rates and Fixed Income Markets
By Alex Viall on November 17, 2021

The UK Financial Conduct Authority (FCA) just released the latest issue of Market Watch, its regular newsletter on market conduct and trade reporting. Issue 68 focuses on gaps in...

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