In Regulatory Wrap for the week to November 17, 2023, Jennie Clarke unpicks Securities and Exchange Commission’s (SEC) Enforcement Results 2023.
The SEC's 2024 Examination Priorities see the regulator prioritizing perennial compliance topics. Is this a step away from the 'modern' approach we've come to expect?
In this contributed article, Hoda Aden Mohamed, Corporate Compliance at Nordic Semiconductor, asks what really drives compliant cultures - is it the tone at the top? Or something more practical?
Watch Global Relay's Regulatory Wrestling: The Compliant Culture Smackdown on demand.
The U.S. Federal Reserve Board has set out key risks to financial system resilience in 2023. We explore how compliance technology mitigates these risks.
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.
The Global Relay Gastown Grand Prix is preparing for its 50th anniversary, and has launched a new course to celebrate.
The SEC has charged a CCO, CSO, and a Police Chief with insider trading. Are senior leaders muddying the waters when it comes to compliance?
The marketing department may be your least-expected area of compliance risk. The regulators are on to it, and you should be too. We set out five critical questions for confident compliance with new marketing rules.