Regulatory Wrap episode 74: The FCA knows what you did last summer
In Regulatory Wrap for the week to October 31, Jay Hampshire breaks down a speech from the FCA, which reinforces its “do the right thing” motto.
Senior Compliance Officer
For the senior Compliance Officer, there’s a lot going on at all times. From getting your head around the newest regulations, to devising strategies of compliance and mitigating operational risks, we’d bet that your plate is pretty full.
FINRA Rule 3120
Have you ever gone about your daily work duties, head in focus-mode, and realized suddenly that something has gone wrong?
$40,000 fine for individual who used personal phone for business
FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.
Trouble at the top? SEC charges senior execs with insider trading
The SEC has charged a CCO, CSO, and a Police Chief with insider trading. Are senior leaders muddying the waters when it comes to compliance?