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.
Are conduct and culture moving up U.S. regulators’ agendas?
Activities from U.S. financial regulators over past months have shown increased attention around conduct and culture, signaling a shift that suggests these themes are becoming more of a defined priority.
Regulatory Wrap Episode 35: CFTC Commissioner Pham Calls for Reform Amid Allegations
In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.
FCA and PRA propose rules around misconduct to boost diversity and inclusion
The FCA and PRA have published a Consultation on new requirements that support diversity and inclusion by reinforcing action against non-financial misconduct and enhancing workplace culture.
Regulatory Wrap Episode 7: FCA’s Plan to Boost Diversity & Inclusion
In Regulatory Wrap for the week of September 29, we look at the FCA's proposal to promote diversity and inclusion and how surveillance tools can weed out bad actors.
Regulatory Wrestling – The Compliant Culture Smackdown: Blow by Blow
Pull up your ringside seat and re-live the rumble with our blow-by-blow breakdown of Regulatory Wrestling – The Compliant Culture Smackdown.
On Demand: Regulatory Wrestling – The Compliant Culture Smackdown
Watch Global Relay's Regulatory Wrestling: The Compliant Culture Smackdown on demand.