The Source Podcast: Teamwork makes the dream work – How to get employee buy-in on compliance
In this episode of The Source podcast, we explore why firms are struggling to get employees to stick to compliance rules and to set the right "tone from the top" for them to follow. Featuring special guest conduct, culture, and risk expert Emma Parry.
FCA to streamline SM&CR in bid to reduce regulatory burdens
Amid efforts by the U.K. government to boost investment, innovation, and growth by cutting “red tape”, the Financial Conduct Authority has laid out plans to “streamline” elements of the Senior Managers and Certification Regime to “make the regime less onerous to firms.”
Secure, seamless, streamlined – Why switch to Global Relay?
While changing unified communications vendors may not have been part of your plan for 2025, switching can unlock benefits including increased security, reduced complexity, and enhanced data completeness – and the switchover process doesn’t have to be painful.
FCA leaves non-financial misconduct nowhere to hide with broader rules
The U.K. regulator has clarified its expectations on bullying and harassment and will extend rules on non-financial misconduct reporting to 37,000 non-bank firms by September 2026.
Danish FSA finds data completeness failings at three major banks
A thematic study by the Danish financial regulator has identified data completeness and recordkeeping failures relating to voice and electronic communications at Danske Bank, Jyske Bank, and Nykredit Bank.
Global Relay Industry Insights: Compliant Communications 2025
For the third year running, our Industry Insights: Compliant Communications 2025 report takes expert insights from compliance and surveillance professionals and creates a data-driven overview of the biggest trends and challenges.
SEC doubles down on off-channel communications settlements
The SEC has denied a motion raised by 16 firms to modify or amend previously agreed settlements for off-channel communication violations that sought to “equalize” their ongoing compliance responsibilities with more recent enforcement cases.
Game over – Controversial “name and shame” proposals axed by FCA
The U.K. financial regulator has confirmed that it won’t move forward with a policy planned to name firms under investigation following substantial criticism from industry and government figures.
What does the SEC’s new stance on crypto mean for regulation?
With the announcement of a new SEC crypto task force and suspension of legal proceedings against several crypto exchanges, are we witnessing the end of the “regulation by enforcement” era, or will there be more calls for crypto clarity?
Will CFTC self-reporting incentive create a self-regulating industry?
The CFTC has announced that firms meeting high levels of self-reporting, cooperation, and remediation with the regulator could see any financial penalties for misconduct reduced by up to 55%.
On Demand: Compliance & Conversation – Recordkeeping and surveillance
Watch on demand as a panel of compliance and surveillance experts discuss trends including AI, social media, and culture and conduct risks.