Compliance

Name and shame – FCA vows more transparency to increase deterrence

The Financial Conduct Authority has set out its commitment to increasing transparency of its investigations, intending its new “name and shame” strategy to deter firms and individuals from non-compliance.

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.

Webinar

On Demand: Comms in Crisis Webinar

Watch our on demand Webinar and join compliance industry experts as they answer the question: why is it so hard to communicate compliantly?

Compliant communications Q&A: 4 ways to combat common challenges

Compliant communication – what makes it so difficult to control? Financial experts unpack the challenges that coincide with communications, especially when contending with new channels and rigorous regulatory enforcement, and answer pressing questions on how best to navigate them.

Will the FCA crack down on WhatsApp? What happened and what’s next

Multiple U.S. and U.K. regulators have taken enforcement action against firms for off-channel communications on WhatsApp, however, the primary U.K. regulator is yet to make it a clear priority. What can we expect from the Financial Conduct Authority (FCA) going forward?

What do the SEC enforcement results tell us about compliance trends?

With the Securities and Exchange Commission releasing its annual enforcement results, we explore what they convey about regulatory priorities over the last year – and for the year to come.

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?

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’?

The road ahead: A podcast summary on recordkeeping compliance and regulatory action

Regulators have made their view on noncompliance clear as they continue to use a firm hand to squash communications and recordkeeping violations. Global Relay’s Executive VP of Compliance, Chip Jones, spoke to this point in an FCPA Compliance Report podcast, weighing in on what moves organizations can make to ensure they’re not dealt the next costly blow.

Fair Warning – SEC sets out trigger factors for acting against CCOs

In a recent speech, Gurbir S. Grewal, Director of the Division of Enforcement for the SEC, laid out the triggers that will see the regulator acting against compliance functions – and gave insight on how to avoid them.

The FCA’s vision to become a more ‘effective regulator’

The FCA touched on several points recapping its progress over the past couple of years and outlines goals to ignite long-term growth through an adapted regulatory approach. This “growth mindset” comes after industry response that it desires enhanced effectiveness and efficiency concerning regulatory measures.