Kathryn Fallah

Report

6 tips to enhance eDiscovery practices

Have you considered if your firm has sound eDiscovery processes in place? Learn more about the top tips you can employ in preparation for a potential investigation or audit.

Regulatory Wrap Episode #25: Reviewing Regulatory Risks, Lessons from a $350M Fine

In Regulatory Wrap for the week to April 5, Rob Mason considers how firms can ensure effective surveillance procedures and complete trading data capture in reflection of related enforcements.

Regulatory Wrap Episode #24: Revealing Regulatory Fines, Deficiencies & Penalties

In Regulatory Wrap for the week to March 22, Rob Mason recounts what led to joint action penalties against a major U.S. investment bank for its lacking surveillance program.

Regulatory Wrap Episode #23: Mastering Operational Resilience and Cyber Compliance

In Regulatory Wrap for the week to March 15, Jennie Clarke covers cyber resilience and the regulatory activity taking place throughout the year to protect firms’ safety.

Regulatory Wrap Episode #22: Social Media & Compliance, Exploring Fraudulent CEOs & Market Swings

In Regulatory Wrap for the week to March 8, Jennie Clarke asks a timely question: are you managing the risks social media poses to compliance?

Regulatory Wrap Episode #21: Addressing Non-Financial Misconduct, Insider Trading & #FCA’s Strategy

In Regulatory Wrap for the week to March 1, Rob Mason discusses the FCA’s mission to pursue and prevent non-financial misconduct as well as insider dealing cases.

Regulatory Wrap Episode #20: Analyzing FCA’s Market Watch 76, Key Insights On Compliance Trends

In Regulatory Wrap for the week to February 23, Rob Mason breaks down the FCA's Market Watch 76, which covers "flying" and "printing" as continuing risks in the industry.

Regulatory Wrap Episode #19: Examining Market Watch 77’s Fight Against Organized Crime

In Regulatory Wrap for the week to February 16, Jennie Clarke reports on the FCA’s recent investigation involving money laundering and insider dealing found to be connected to organized crime groups.

Why cybersecurity is the one to watch for global regulators in 2024

Rapid digitalization and technological innovation have offered a wealth of advantages to financial industry practices by redefining business operations. Though, consequently, the threat to cybersecurity is as present as ever. How have regulators begun to maneuver this pressing matter? And will it be a trend to watch in the coming year?

Play chess, not checkers: 5 ways firms can fortify policies against noncompliance

Noncompliance risks may not be completely unavoidable, but they can decrease substantially when financial organizations anticipate precarious situations and take steps to defend against them.

ECB’s cyber resilience stress tests are on the horizon for 2024

Amidst a series of regulatory conversations spotlighting security, stability, and resilience, the ECB has announced a stress test aimed to assess how financial firms respond when faced with a simulated cyberattack.