Kathryn Fallah

Regulatory Wrap episode 67: The $80K cover-up FINRA didn’t miss

In Regulatory Wrap for the week to August 1, Jay Hampshire reviews a FINRA fine against a firm rep for concealing misconduct using off-channel communications.

FCA and FINRA shift attention to individual accountability with misconduct fines

Regulators are taking a hardline stance on personal conduct and accountability, as shown by the latest FINRA enforcement action against a broker for exam cheating, as well as a £1 million FCA fine against a CEO for “lack of integrity through misleading statements.

Regulatory Wrap episode 66: The FCA vs. market abuse

In Regulatory Wrap for the week to July 18, Aarti Agarwal discusses how the FCA has ramped up efforts to tackle market abuse and protect integrity.

Regulatory Wrap episode 65: The FCA expands misconduct rules to 37,000 firms

In Regulatory Wrap for the week to July 11, Rob Mason recounts the FCA’s decision to expand misconduct rules to 37,000 non-banking firms in 2026.

Regulatory Wrap episode 64: Global regulators crack down on finfluencer violations

In Regulatory Wrap for the week to June 20, Kathryn Fallah covers the international crackdown on financial influencers, also known as “finfluencers.”

Regulatory Wrap episode 63: Is comms compliance at a tipping point?

In Regulatory Wrap for the week to June 13, Rob Mason dissects key findings from our latest Industry Insights: Compliance Communications 2025 Report.

FCA puts innovation “at the very heart” of its strategy

Following its international counterparts, the FCA has adopted a reduced regulation ideology. At the center of this is the push for innovation to amplify growth, fight financial crime, improve processes, and attract clients.

What’s next for crypto from the SEC’s view

As the SEC wraps up its Crypto Task Force roundtable series, covering topics from blockchain to crypto custody to decentralized finance, has the regulator come closer to defining the future framework for crypto asset regulation?

Surveillance Snippets: Step up the surveillance game with AI enablement

High volumes of data require high-tech surveillance systems to keep pace – which is where AI comes in. How can AI-enablement help firms take their surveillance governance to the next level?

Regulatory Wrap episode 62: DOJ makes self-disclosure a strategic advantage

In Regulatory Wrap for the week to May 23, Ryan Sheridan uncover how the DOJ’s updated white-collar enforcement plan repositions self-disclosure as a commercial advantage.

Regulatory Wrap episode 61: The future of AI in surveillance workflows

In Regulatory Wrap for the week to May 16, Kathryn Fallah highlights the top stats from Global Relay’s State of AI in Surveillance 2025 report.

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