compliance | Financial Regulation Journal

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Competition Commission’s draft public interest guidelines for mergers published for public comment

15th Nov 2023

SAIFM engages with Regulators – Opportunity for Members

7th Nov 2023

The Basel Committee and the Financial Stability Board Publish Reports on Lessons Learned From Recent Bank Failures

1st Nov 2023

Key Updates from SARB on JIBAR Transition and ZARONIA Initiatives

6th Dec 2024

Comparing section 34A of the Prevention and Combating of Corrupt Activities Act to the United States Foreign Corrupt Practices Act

25th Nov 2024

IOSCO Publishes Report on Transition Plans Disclosures

25th Nov 2024

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SAIFM is the leading professional institute for financial markets practitioners offering prescribed exams (assessments) for various roles and functions in the securities markets and such ancillary services as may promote professionalism and integrity in the financial markets.

Tag: compliance

SEC Fines Broker-Dealer $1 Million in First Enforcement Action Under Identity Theft Rule

SAIFM Regulatory Summit, 8 August 2018

Demand for compliance lawyers is growing in Africa