Jennie Clarke

Regulatory Wrap Episode #14: SEC Enforcement Results 2023

In Regulatory Wrap for the week to November 17, 2023, Jennie Clarke unpicks Securities and Exchange Commission’s (SEC) Enforcement Results 2023.

28 pages later – but are SEC’s 2024 Examination Priorities a blockbuster?

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?

What Really Drives Compliance – Is ‘Tone from the Top’ Enough?

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?


On Demand: Regulatory Wrestling – The Compliant Culture Smackdown

Watch Global Relay's Regulatory Wrestling: The Compliant Culture Smackdown on demand.

Four ways compliance technology mitigates the Fed’s threats to financial system resilience

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.

Compliance Podcast Series: Episode 3 – Regulatory Changes on the Horizon for UK Firms

In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.

$40,000 fine for individual who used personal phone for business

FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.


2023 Global Relay Gastown Grand Prix riders to watch

The Global Relay Gastown Grand Prix is preparing for its 50th anniversary, and has launched a new course to celebrate.

Trouble at the top? SEC charges senior execs with insider trading

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 Cardinal Sins of Compliance

What are the 'cardinal sins' for compliance? What can organizations do to avoid the (good) book being thrown at them? Carroll Barry-Walsh tells all.

Marketing Compliance – One Rule to Rule Them All

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.