Regulatory Wrap Episode 36: ASIC’s Crackdown on Communication Risk
In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.
Are conduct and culture moving up U.S. regulators’ agendas?
Activities from U.S. financial regulators over past months have shown increased attention around conduct and culture, signaling a shift that suggests these themes are becoming more of a defined priority.
Regulatory Wrap Episode 35: CFTC Commissioner Pham Calls for Reform Amid Allegations
In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.
Generation AI: What are the recordkeeping rules for generative AI platforms?
Generative AI platforms like ChatGPT have presented financial services with tremendous opportunity and tremendous risk – but how are firms beginning to use them within operations, and what are the implications of these practices? Regulators, including FINRA, have weighed in with enforcements and requirements on how to best proceed in navigating the landscape of AI technologies as they become more multifaceted.
Regulatory Wrap Episode 34: FINRA Reacts to an Emerging Culture of Off-Channel Comms
In Regulatory Wrap for the week to June 28, Jennie Clarke covers FINRA’s set of fines for off-channel communications activities, underlining the consequences of improper recordkeeping and supervision.
Regulatory Wrap Episode 33: The Ongoing Transparency of the SEC Leaves No Room for Doubt for Firms
In Regulatory Wrap for the week to June 21, Jay Hampshire highlights the sequence of events that demonstrate SEC transparency and the resulting compliance expectations the regulator has of firms.
Transparency continued – The SEC clarifies its examination selection process for broker-dealers
The SEC’s Division of Examinations released a Risk Alert defining the elements it weighs when selecting broker-dealers as examination candidates, illuminating how firms can prepare and refine their compliance efforts.
Regulatory Wrap Episode 32: Global Relay’s 2024 Industry Insights Report Findings
In Regulatory Wrap for the week to June 14, Jennie Clarke highlights core findings from our recently released Industry Insights report.
Regulatory recordkeeping enforcement roundup: A storybook retelling
Follow the complete regulatory recordkeeping tale from initial enforcement action to present day and obtain insights analyzing the facts.
Regulatory Wrap Episode 31: The SEC’s Five Principles of Effective Cooperation
In Regulatory Wrap for the week to June 7, Rob Mason covers the SEC’s continued pursuit of regulatory transparency with its “five principles of effective cooperation” relating to investigations.
Social surveillance: The importance of comms capture for social media compliance
In addition to capturing communications channels like email, IM, and SMS, compliance teams must realize the importance of capturing data from social media platforms. To effectively manage widely used applications, firms should consider social surveillance and strategies to curb risks.