Regulatory Wrap Episode 27: SEC Crackdown, 5 Firms Fined for Marketing Rule Violations
In Regulatory Wrap for the week to April 19, Aarti Agarwal unpicks the SEC’s charges against five investment adviser firms for violating the Marketing Rule.
Regulatory Wrap Episode 26: Regulators & Recordkeeping Rules, The SEC and FCA Increase Transparency
In Regulatory Wrap for the week to April 12, Rob Mason discusses the theme of transparency with financial regulators, including the SEC’s explanation about the trigger factors that lead to investigations.
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.
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.
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.