Kathryn Fallah

Regulatory Wrap Episode 42: The FCA’s WhatsApp Crackdown

In Regulatory Wrap for the week to September 27, Jay Hampshire considers the FCA’s future objectives after recent action concerning off-channel communications.

Watch out for WhatsApp: Does the FCA plan to follow in the footsteps of U.S. regulators?

There has been no shortage of fines for recordkeeping failures in the U.S., particularly from regulators like the SEC and CFTC – though movement from the U.K.’s primary financial regulator seems to point toward a future concentration on the topic.

Regulatory Wrap Episode 41: $1.3M in SEC Fines & Citigroup’s Data Compliance Struggles

In Regulatory Wrap for the week to September 20, Jay Hampshire discusses another fine from SEC for recordkeeping failures in addition to other related data compliance concerns.

How does voice surveillance differ from other forms of communications surveillance?

As regulators encourage firms to effectively supervise business communications to deter misconduct and maintain compliance, what are the main differences to watch for when monitoring voice communications versus other written digital communications?

Regulatory Wrap Episode 40: The SEC Fines 9 Firms $1.24M for Misleading Marketing

In Regulatory Wrap for the week to September 13, Jay Hampshire reviews a recent SEC enforcement for misleading marketing.

Regulatory Wrap Episode 39: $49M in SEC Fines for 6 Firms

In Regulatory Wrap for the week to September 6, Jennie Clarke discusses the continuation of SEC recordkeeping fines, with the most recent being against six agencies for $49 million.

Hold the phone – What are the voice recordkeeping requirements for firms?

A large component of prevalently used messaging platforms is the ability to communicate through voice chat, which poses an avenue for compliance risk. Despite infrequent movement around voice recordkeeping, indications within current regulations and previous enforcements suggest that heightened scrutiny may be on the other line.

Regulatory Wrap Episode 38: Whistleblowing in the U.S. vs. U.K.

In Regulatory Wrap for the week to August 30, Jay Hampshire unpicks the difference in the U.S. and U.K. regulatory approach when it comes to whistleblowing.

Stand the resilience test – OSFI adds to the operational resilience conversation

In line with measures other regulators have taken, OSFI released its final Guideline E-21 on operational risk and resilience, which outlines expectations for firms to prepare for and respond to disruptive events that could affect business operations.

Regulatory Wrap Episode 37: The SEC Fines 26 Firms $400M for Recordkeeping Failures

In Regulatory Wrap for the week to August 16, Aarti Agarwal covers the latest round of SEC recordkeeping failure enforcements following firm activities pointing towards possible regulatory action.

Regulatory Wrap Episode 36: ASIC’s Crackdown on Communication Risk

In Regulatory Wrap for the week to July 26, Jennie Clarke discusses ASIC’s recently defined expectations on communications risk and subsequent charges that prove its strict stance on noncompliance.

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