With the Securities and Exchange Commission releasing its annual enforcement results, we explore what they convey about regulatory priorities over the last year – and for the year to come.
Technology vendors are increasing or imposing API fees on enterprise users of their collaboration and communications platforms – are they the new ‘cost of doing business’ compliantly?
Internal communication is a vital – but often overlooked – function within a business that can help to reinforce cultural values, ensure employees feel part of something, and even mitigate potential compliance risks. We explore the do’s and don’ts that will enhance your internal communications strategy.
With a recent demonstration proving that AI is capable of performing illegal trades – and lying about them – where do regulators stand on the ‘AI question’?
In a recent speech, Gurbir S. Grewal, Director of the Division of Enforcement for the SEC, laid out the triggers that will see the regulator acting against compliance functions – and gave insight on how to avoid them.
A recent speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, has laid out FCA’s views on AI, its potential, and how we might already have the frameworks to regulate its use.
Pull up your ringside seat and re-live the rumble with our blow-by-blow breakdown of Regulatory Wrestling – The Compliant Culture Smackdown.
The SEC has charged nine RIAs with breaching its Marketing Rule by advertising ‘hypothetical performance’ to the general public. With fines totalling $850,000 the regulator is making it clear that the answer to ‘are we compliant?’ should never be a hypothetical.
Goldman Sachs has terminated four executives, including its head of transaction banking, for “serious violations” of the firm’s communications policies and failure to cooperate with compliance teams.
Enforcement actions from the SEC and CFTC against Citigroup and Goldman Sachs showcase that compliant recordkeeping is high on the regulatory agenda.