Blog

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.

Stop, cooperate, and listen – The five principles of cooperating with SEC investigations

Gurbir Grewal, the Director of the SEC’s Division of Enforcement, has laid out five principles firms should adhere to in order to effectively work with investigations – and secure better outcomes.

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.

FCA’s Operational Observations: are firms prepared for operational resilience deadline?

The Financial Conduct Authority has published its observations on how firms are preparing for new operational resilience rules coming into force in 2025, which acts as a guide of focus areas for firms.

Keeping watch – Key learnings from the FCA’s Market Watch

The U.K. regulator’s Market Watch newsletter provides insight into areas of focus, investigatory findings, and potential upcoming enforcement priorities, and is a must-read for firms looking to stay on the right side of regulation.

Five developments to show why operational resilience should be on your radar

Operational resilience is an essential practice to remain protected in a landscape of intensifying cyber threats. Regulators have taken steps to demonstrate their increasing focus on this matter by implementing guidelines, frameworks, and direction to preserve security.

How are financial regulators approaching AI integration?

Regulators globally have been implementing a variety of measures to manage the utilization of AI within the financial sector. We take a look at the key approaches so far.

Capture if you can webinar: Your questions answered

Industry experts answer compliance questions posed by the audience in our ‘Capture if you can’ webinar.

The SEC sweeps, the SEC scores – five further firms fined under Marketing Rule

The SEC has fined five registered investment advisers for hypothetical performance advertising, hindering their consumers’ ability to make an informed judgment around financial decisions. Now, the regulator is spelling the dos and don’ts of the Marketing Rule.

Remediate, recordkeep, rinse, repeat – SEC sets out decision making process behind recordkeeping fines

The SEC sets out the rationale behind its recordkeeping enforcements, increasing its transparency and pushing for greater accountability across the industry.

On the books – FINRA fine proves marketing comms can be a recordkeeping risk

A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.