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How French banks can strengthen conflicts of interest controls
French investment banks face growing pressure to strengthen conflicts of interest frameworks as the Autorité des marchés financiers (AMF) raises the bar on compliance...
9 risk management solutions that should be on your RegTech radar...
Risk management is one of the core foundations of a firm’s compliance workflow. When implemented effectively, risk management helps ensure compliance processes are not...
MCO explores trading oversight gaps after SFC enforcement action
Hong Kong's Securities and Futures Commission (SFC) has fined a responsible officer at a licensed securities firm HK$1m and handed down a four-and-a-half-year industry...