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.
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.
Play chess, not checkers: 5 ways firms can fortify policies against noncompliance
Noncompliance risks may not be completely unavoidable, but they can decrease substantially when financial organizations anticipate precarious situations and take steps to defend against them.
Bigger and better – why growing communications networks need better data connectors
As the platforms we use to communicate have proliferated, so have the compliance challenges and the importance of Connectors.
What do API Fee increases mean for communications compliance?
Technology vendors are increasing or imposing API fees on enterprise users of their collaboration and communications platforms – are they the new ‘cost of doing business’ compliantly?
Mail disorder – J.P. Morgan Fined by SEC for deletion of 47million communications
The financial services giant has been fined $4 million and censured for the permanent deletion of communications data that was required to be retained under Exchange Act rules.
SEC will reward cooperation where firms “mess up” with unauthorized communication
SEC Chair, Gary Gensler has suggested that financial institutions “did not act as if they got the message” around unauthorized communications. Is the regulator changing its approach?