Broker Dealers

Case-by-Case: FCA clarifies how new “name and shame” approach will be implemented

In a recent webinar, Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, FCA, detailed how the regulator will implement its new “name and shame” approach to investigations – and how it will act as a deterrent.

Frantic February: Should compliance teams be worried after a mega month for the FCA?

Does increased action from the U.K. regulator suggest that new hires and new strategies are taking effect? And what does this mean for your compliance team?

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.

JPMorgan Chase hit with almost $350 million in fines for gaps in trade surveillance data

With JPMorgan Chase being fined a considerable $350 million sum for “unsafe or unsound” practices around trade surveillance, what impacts will this have on how firms trade and communicate compliantly?

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.

OCC to join regulatory rollout as it eyes operational risk requirements for banks

The OCC has announced that it is focusing on baseline operational resilience requirements for large banks with critical operations.

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.

Name and shame – FCA vows more transparency to increase deterrence

The Financial Conduct Authority has set out its commitment to increasing transparency of its investigations, intending its new “name and shame” strategy to deter firms and individuals from non-compliance.

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.