iComply Insights
see the latest Regwatch compliance updates and expert insights
12 Month Review of Revised FATF Standards – Virtual Assets and VASPs
Our latest expert insight from Jonathan C. Dunsmoor of Dunsmoor Law, P.C. reviews the impact of the revised FAFT standards on the virtual asset industry
SEC Charges App Developer for Unregistered Security-Based Swap Transactions
Our latest expert insight from Kayvan B. Sadeghi of Schiff Hardin LLP highlights the recent action from both the SEC and CFTC against app developer Abra for unregistered transactions
Fireside Chat: Is Retail Wealth Management Ready for Virtual Assets?
Join our latest live fireside chat to learn how wealth managers worldwide are exploring the emerging virtual asset industry for retail investors
Banker and Insurance Agent Banned From Providing Financial Advisory Services in Singapore
Banker and insurance agent prohibited from conducting financial advisory services in Singapore due to fraud and dishonest conduct
SEC Charges Former Hertz CEO with Filing of Inaccurate Financial Statements
SEC charged former Hertz CEO Mark Frissora with the filing of inaccurate financials and allegedly pressuring his employees to “find money”
SEC Charges Wind Turbine Company and Individuals With Defrauding Investors
Our latest expert insight from Kristina Subbotina of Ross Law Group reviews the SEC’s recent action against the wind turbine company and individuals
Latest News
Fireside Chat: Is Retail Wealth Management Ready for Virtual Assets?
Join our latest live fireside chat to learn how wealth managers worldwide are exploring the emerging virtual asset industry for retail investors
Fireside Chat: Unknown Risks in M&A – AML Screening and Due Diligence for Corporate Finance
Join our live fireside chat to learn more about the unknown risks in M&A transactions that legal firms face when performing risk screening and due diligence
iComply Now Listed in the FINRA Compliance Vendor Directory
iComply Investor Services is pleased to announce its listing in the FINRA Compliance Vendor Directory, which features vendors offering compliance solutions and services.