Category: Compliance

SEC Litigation Release – When Insider Trading and Fraud Cross Paths

They say everything has a price. In this case, Steven Gallagher’s integrity, morality, and, potentially, freedom cost just north of $1 million. The SEC’s complaint alleges that for years, Gallagher, a stock trader, used his Twitter handle to make thousands of tweets encouraging his numerous followers to buy stocks for which he had already amassed holdings in secret.

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TC Oversight Controls and the Evolution of Surveillance

In 2017, CA announced End-of-Life. The financial market as we knew it would be forever changed. CA’s announcement challenged the software vendors in the market to up their game and advance their products. It challenged businesses to reevaluate the way they meet their regulatory requirements

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Relying on the Regulators: The Importance Self-Regulation

Two themes that we’ve covered in the past, if you want something done right you have to do it yourself and the importance of being proactive, are two common themes when it comes to the regulatory risk and compliance spaces. With the industry in the

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Outsourcing Compliance: What Could Go Wrong?

There’s no doubt that compliance is tricky business. Ensuring that your company adheres to the numerous regulations imposed by various bodies and administrations is a tough job that you may think requires you to hand it over to the experts. But you may be surprised

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