Culture clash – How can firms ensure they’re addressing non-financial misconduct risk?
Rob Mason, Director, Regulatory Intelligence explores the FCA’s recent prioritization of non-financial misconduct and its impacts on culture, and the steps firms can take to address conduct risks.
Regulatory Wrap episode 54: What’s going on with the FCA?
In Regulatory Wrap for the week to March 7, Rob Mason discusses why the FCA has been the subject of scrutiny since the beginning of 2025.
Game over – Controversial “name and shame” proposals axed by FCA
The U.K. financial regulator has confirmed that it won’t move forward with a policy planned to name firms under investigation following substantial criticism from industry and government figures.
Regulatory Wrap episode 53: The CFTC’s new self-reporting matrix
In Regulatory Wrap for the week to February 28, Kathryn Fallah breaks down the CFTC’s new self-reporting matrix, which includes potential penalty reductions of up to 55%.
What does the SEC’s new stance on crypto mean for regulation?
With the announcement of a new SEC crypto task force and suspension of legal proceedings against several crypto exchanges, are we witnessing the end of the “regulation by enforcement” era, or will there be more calls for crypto clarity?
Regulatory wrap episode 52: CIRO’s 2025 compliance priorities
In Regulatory Wrap for the week to February 7, Kathryn Fallah discusses the newly-established Canadian Investment Regulatory Organization (CIRO) and its 2025 Annual Compliance Report.
Will CFTC self-reporting incentive create a self-regulating industry?
The CFTC has announced that firms meeting high levels of self-reporting, cooperation, and remediation with the regulator could see any financial penalties for misconduct reduced by up to 55%.
Compliance & Conversation: What does the data of 12,000 financial organization reveal about recordkeeping and surveillance trends?
On February 5, 2025, we were joined by a panel of compliance and surveillance experts to explore top compliance trends, answering questions including whether the FCA is complicating compliance, how AI is being used for surveillance, and if conduct and culture should be high on firm’s agendas.
Regulatory wrap episode 51: FINRA’s 2025 regulatory report: what firms need to know
In Regulatory Wrap for the week to January 31, we extract the need-to-know details from FINRA’s Annual Regulatory Oversight Report for 2025.
IM impact: Are you accounting for emerging instant messaging channels?
Communications compliance persists as a regulatory focus area - but, amid a landscape of fast-emerging instant messaging applications, are firms treating IM platforms as a compliance priority?
Compliance & Conversation: Culture Shock: How cultural challenges are reshaping financial regulation
On February 5, 2025, we hosted a fireside chat that revealed key insights into the key features of a compliance culture and how regulation can prevent growth rather than encourage it.