Regulatory whispers forewarn U.S. swap dealers of voice surveillance focus
Does recent enforcement action from the CFTC and NFA, along with regulatory messaging from the SEC, suggest that U.S. regulators are turning their focus to voice?
Non-financial risks
For some compliance officers, risks are like heavy and dark clouds waiting to rain on the business. While some risks may never occur, it’s their responsibility to ensure you pack-a-mac, and put a plan together if the rain comes down.
6 tips to enhance eDiscovery practices for healthcare
Does your organization have sound eDiscovery processes in place? Receive tips you can employ in preparation for a potential investigation or audit.
CCPA vs GDPR
The GDPR and CCPA regulations are each responsible for protecting personal data in their respective regions. But they aren’t just carbon copies of one another, which is why companies operating in both jurisdictions could struggle to comply.
Here’s how the Dodd Frank Act is evolving the financial market
The Dodd Frank Act was a transformative and ground-breaking piece of legislation when it was brought into the United States during 2010. In response to the financial industry’s dire Wall Street crash in 2008, this Act aimed to better protect the Federal Reserve, financial markets and consumers, preventing a repeat of the crisis.
What is FINRA Rule 8210: Information and testimony requests
Between 2020 and 2022, more brokers and associated persons were barred from the securities market due to FINRA Rule 8210 violations than any other Rule. So how can broker-dealers navigate a FINRA 8210 request?
MiFID II and MiFIR: Key differences and similarities
The Markets in Financial Instruments Regulation (MiFIR) and the second Markets in Financial Instruments Directive (MiFID II) work in tandem to regulate financial instruments in the European Union (EU).
The Market Abuse Regulation: A complete guide
The Financial Conduct Authority (FCA) has publicly stated that preventing, detecting, and punishing market abuse is one of its core priorities. So how can firms effectively navigate the complexities of the Market Abuse Regulation?
EU CSRD: Corporate Sustainability Reporting Directive
The Corporate Sustainability Reporting Directive is the European Union’s new solution to holding corporations accountable for their impacts on the environment.
Material non-public information: protect your integrity
Material non-public information is a bit of a mouthful, but you might already know it by another name; insider trading. And the exposure of this sensitive data can result in devastating financial losses and regulatory penalties.
Regulatory Compliance
Regulatory compliance is a demanding process for corporations, especially when operating in multiple global locations. With varying demands across different regions, it can feel like a bit of a juggling act to comply.