CFTC

Social surveillance: The importance of comms capture for social media compliance

In addition to capturing communications channels like email, IM, and SMS, compliance teams must realize the importance of capturing data from social media platforms. To effectively manage widely used applications, firms should consider social surveillance and strategies to curb risks.

Five developments to show why operational resilience should be on your radar

Operational resilience is an essential practice to remain protected in a landscape of intensifying cyber threats. Regulators have taken steps to demonstrate their increasing focus on this matter by implementing guidelines, frameworks, and direction to preserve security.

How are financial regulators approaching AI integration?

Regulators globally have been implementing a variety of measures to manage the utilization of AI within the financial sector. We take a look at the key approaches so far.

ECB’s cyber resilience stress tests are on the horizon for 2024

Amidst a series of regulatory conversations spotlighting security, stability, and resilience, the ECB has announced a stress test aimed to assess how financial firms respond when faced with a simulated cyberattack.

12 Do’s and Don’ts of Internal Communications

Internal communication is a vital – but often overlooked – function within a business that can help to reinforce cultural values, ensure employees feel part of something, and even mitigate potential compliance risks. We explore the do’s and don’ts that will enhance your internal communications strategy.

Artifice and Intelligence – What does AI insider trading mean for regulation?

With a recent demonstration proving that AI is capable of performing illegal trades – and lying about them – where do regulators stand on the ‘AI question’?

Heads or t-AI-ls: FCA speech sets out ‘coin toss’ view on AI adoption

A recent speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, has laid out FCA’s views on AI, its potential, and how we might already have the frameworks to regulate its use.

CFTC Commissioner urges regulatory reforms to keep pace with technology

CFTC Commissioner Christy Goldsmith Romero’s recent remarks on keeping pace with evolving technologies like social media and AI highlight their ability to assist regulators by strengthening protection, broadening financial information outreach, and easing accessibility.

Goldman Sachs sacks four executives for serious violations of communications compliance policy

Goldman Sachs has terminated four executives, including its head of transaction banking, for “serious violations” of the firm’s communications policies and failure to cooperate with compliance teams.

Regulatory Wrap Episode 4: FCA Fines, CFTC Penalties, & the Rise of Voice Capture

In Regulatory Wrap for the week to September 8, 2023, we explore voice capture and the challenges that it poses for compliance teams.

Regulators throw the book at Goldman Sachs and Citigroup for recordkeeping failures

Enforcement actions from the SEC and CFTC against Citigroup and Goldman Sachs showcase that compliant recordkeeping is high on the regulatory agenda.