Broker Dealers

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.

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.

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.

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.

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?