The Source Podcast: Teamwork makes the dream work – How to get employee buy-in on compliance
In this episode of The Source podcast, we explore why firms are struggling to get employees to stick to compliance rules and to set the right "tone from the top" for them to follow. Featuring special guest conduct, culture, and risk expert Emma Parry.
The Conduct Chronicles – Can AI boost conduct and culture?
Emma Parry highlights the benefits of AI in defining a culture that enables self-reporting, working to analyze large data sets and detect areas for further investigation.
Regulatory Wrap episode 65: The FCA expands misconduct rules to 37,000 firms
In Regulatory Wrap for the week to July 11, Rob Mason recounts the FCA’s decision to expand misconduct rules to 37,000 non-banking firms in 2026.
The Conduct Chronicles – Does the CFTC practice what it preaches?
Emma Parry examines the CFTC's performance, revealing concerns about its conduct in legal proceedings and internal operational failings, highlighting the urgent need for reform and accountability.
The Conduct Chronicles – The challenge of proving market abuse
With the proliferation of communications channels and the evolution of tech, data completeness has never been more critical in tackling market abuse.
The Conduct Chronicles – The Emerging Risks of LinkedIn
As social media opens up new avenues of communication, businesses face a new set of challenges. From possibilities of insider trading to investment scams, firms must take the necessary precautions to mitigate these potential risks.
The Conduct Chronicles – Conduct and Culture: Insights from the US Record Keeping fines
Culture is determined by more than just 'tone from the top', it requires ongoing effort and investment. Firms should also look to celebrate good behavior, and ensure incidents of bad behavior are being escalated.
On Demand: Compliance & Conversation – Culture shock: A fireside chat on cultural compliance challenges
Watch on-demand and learn how effective supervision and facilitating an open dialogue with staff is key to ensuring a compliant culture.
Compliance & Conversation: Culture Shock: How cultural challenges are reshaping financial regulation
On February 5, 2025, we hosted a fireside chat that revealed key insights into the key features of a compliance culture and how regulation can prevent growth rather than encourage it.
On Demand: Is conduct and culture the next regulatory priority?
Watch on demand as our expert panel discuss the increasing significance that regulators are placing on a cultivated “culture of compliance" in the U.S.
The Conduct Chronicles – “I Spy with my Little AI”
Emma Parry analyzes how firms are increasingly looking to monitor social media channels and their use, and are utilising AI and to do so.