Regulatory Unwrapped: Breaking down the FCA’s NFM framework
Join us for a deeper dive into the biggest regulatory trends and challenges firms are facing as we chat with experts and understand how organizations can keep pace with fast-paced compliance changes.
The Conduct Chronicles – Deepfakes. Who are you really dealing with?
Emma Parry explores the growing risk of deepfake fraud, highlighting real world cases that have led to the loss of millions of dollars through scams and manipulation.
The Conduct Chronicles – SEC Renegotiation? Not a chance!
Regulators are reviewing and revising regulations by creating a less intense process for financial services looking to comply with the rules, and while the SEC has refused revisiting past settlements, FINRA seems to be on the case.
Regulatory Wrap episode 68: FCA WhatsApp breach survey
In Regulatory Wrap for the week to August 15, Jennie Clarke discusses recent FCA survey results, which found that firms are still grappling with off-channel comms violations.
Regulatory Wrap episode 67: The $80K cover-up FINRA didn’t miss
In Regulatory Wrap for the week to August 1, Jay Hampshire reviews a FINRA fine against a firm rep for concealing misconduct using off-channel communications.
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.