Regulatory Wrap Episode 36: ASIC’s Crackdown on Communication Risk
In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.
The Conduct Chronicles – “On the Public Record”
Emma Parry writes on her experience of misconduct within the financial services, and how firms must do more than monitor communications to prevent it.
How data capture for ChatGPT can supercharge your business
Financial services firms looking to tap into the benefits of Large Language Models like ChatGPT can leverage data capture solutions to utilize AI compliantly and effectively.
Worldwide IT outage: what does it mean, and what does it mean for Global Relay customers
As a global IT outage unfolds, we set out what has happened, how it could affect Global Relay customers, and how we can help.
Bad finfluence – Is influencer marketing worth the risks?
With the FCA having announced court dates for a case against nine social media influencers involved in non-compliant financial promotions, do the benefits outweigh the risks for ‘finfluencer’ marketing?
Are conduct and culture moving up U.S. regulators’ agendas?
Activities from U.S. financial regulators over past months have shown increased attention around conduct and culture, signaling a shift that suggests these themes are becoming more of a defined priority.
Large Language Model or Large Liability Model? What are the risks of ChatGPT in financial services
As firms begin to implement ChatGPT into their business models they must be aware of its limitations. We look at the risks that ChatGPT could pose to financial services.
Regulatory Wrap Episode 35: CFTC Commissioner Pham Calls for Reform Amid Allegations
In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.
Compliance & Conversation: Exploring DORA
On 3 July, 2024, we were joined by compliance and surveillance experts for our Compliance & Conversation event. Bradley Rice, Partner, Financial Services Regulation at Ashurst, explored the potential impacts of upcoming EU operational resilience legislation – DORA.
On Demand: Compliance & Conversation – Exploring DORA
Watch on-demand and learn what the EU's Digital Operational Resilience Act (DORA) means for the financial services space.
Generation AI: What are the recordkeeping rules for generative AI platforms?
Generative AI platforms like ChatGPT have presented financial services with tremendous opportunity and tremendous risk – but how are firms beginning to use them within operations, and what are the implications of these practices? Regulators, including FINRA, have weighed in with enforcements and requirements on how to best proceed in navigating the landscape of AI technologies as they become more multifaceted.