Regulatory Wrap Episode 43: The FCA’s “Kaizen” Approach
In Regulatory Wrap for the week to October 11, Jay Hampshire reflects on the FCA’s approach to enforcement as detailed in a recent speech.
Regulatory Wrap Episode 42: The FCA’s WhatsApp Crackdown
In Regulatory Wrap for the week to September 27, Jay Hampshire considers the FCA’s future objectives after recent action concerning off-channel communications.
The Conduct Chronicles – “Are we winning the Culture War?”
Emma Parry explores the need for firms to invest more into their work cultures to ensure the prevention of both financial and non-financial misconduct.
Regulatory Wrap Episode 41: $1.3M in SEC Fines & Citigroup’s Data Compliance Struggles
In Regulatory Wrap for the week to September 20, Jay Hampshire discusses another fine from SEC for recordkeeping failures in addition to other related data compliance concerns.
5 Tips to enhance voice surveillance
With regulatory expectations around voice channels increasing, firms need to ensure that they’re not only capturing relevant voice channels, but using voice data to enhance their surveillance and compliance.
Regulatory Wrap Episode 40: The SEC Fines 9 Firms $1.24M for Misleading Marketing
In Regulatory Wrap for the week to September 13, Jay Hampshire reviews a recent SEC enforcement for misleading marketing.
Regulatory Wrap Episode 39: $49M in SEC Fines for 6 Firms
In Regulatory Wrap for the week to September 6, Jennie Clarke discusses the continuation of SEC recordkeeping fines, with the most recent being against six agencies for $49 million.
Regulatory Wrap Episode 38: Whistleblowing in the U.S. vs. U.K.
In Regulatory Wrap for the week to August 30, Jay Hampshire unpicks the difference in the U.S. and U.K. regulatory approach when it comes to whistleblowing.
Regulatory Compliance
Regulatory compliance is a demanding process for corporations, especially when operating in multiple global locations. With varying demands across different regions, it can feel like a bit of a juggling act to comply.
The Conduct Chronicles – “Social Media. Who is really following us?”
Emma Parry discusses the emergence of social media and the risks that come with it. As a result firms are cracking down on monitoring their employees and screening their backgrounds, however, they must ensure they are being transparent in their pursuit.
Regulatory Wrap Episode 37: The SEC Fines 26 Firms $400M for Recordkeeping Failures
In Regulatory Wrap for the week to August 16, Aarti Agarwal covers the latest round of SEC recordkeeping failure enforcements following firm activities pointing towards possible regulatory action.