On the books – FINRA fine proves marketing comms can be a recordkeeping risk
A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.
Case-by-Case: FCA clarifies how new “name and shame” approach will be implemented
In a recent webinar, Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, FCA, detailed how the regulator will implement its new “name and shame” approach to investigations – and how it will act as a deterrent.
JPMorgan Chase hit with almost $350 million in fines for gaps in trade surveillance data
With JPMorgan Chase being fined a considerable $350 million sum for “unsafe or unsound” practices around trade surveillance, what impacts will this have on how firms trade and communicate compliantly?
Panel discussion: What can 10,000 financial services firms tell us about communications capture?
Watch on demand: A panel of communications compliance and surveillance experts discuss the findings of our Data Insights: Compliant Communications report, and what they mean for communications capture.
Name and shame – FCA vows more transparency to increase deterrence
The Financial Conduct Authority has set out its commitment to increasing transparency of its investigations, intending its new “name and shame” strategy to deter firms and individuals from non-compliance.
Regulatory Wrap Episode 18: Market Watch 76 – Decoding Market Dynamics and the FCA’s Evolution
In Regulatory Wrap for the week to February 9, 2024, we share insight into the FCA's recently published Market Watch 76 report, and how concerns around potential market abuse and 'flying and printing' that were first raised back in 2015 are still causing regulatory rumblings today.
Regulatory Wrap Episode 17: Regulatory Priorities, 2024 Major Trends, and a New Focus for the FCA
In Regulatory Wrap for the week to January 26, 2024, we explore how 2024 could see heavy regulatory focus on non-financial misconduct, and how the FCA is leading the charge when it comes to policing proper conduct.
Letter of intent – FCA requests non-financial misconduct data from insurance firms
The FCA has continued its focus on non-financial misconduct by issuing a letter to insurers and insurance agents requesting information on NFM incidents at firms – including the outcomes of these incidents.
Exclusive: A fireside chat with Jamie Bell, Head of Secondary Market Oversight at the FCA
On February 7, 2024 we were joined by Jamie Bell, Head of Secondary Market Oversight, FCA, to discuss conduct, culture, and compliance challenges – from non-financial misconduct to AI and crypto.
Cryptic crypto – FINRA says crypto marketing needs clearing up
After a two-year review, FINRA has found that 70% of broker dealers’ crypto marketing communications violate rules requiring they be “fair and balanced”.
Global Relay experts’ expectations for 2024
From conduct and culture to the election cycle, changing communications channels to the power of artificial intelligence, our subject matter experts share their predictions and insights into the compliance trends for the year to come.