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.
Conduct and culture: A growing focus for U.S. regulators?
Discover how the focus on conduct and culture has developed over the last several years in U.S. financial regulation.
The Conduct Chronicles – “The real-world impact of Market Manipulation”
Emma Parry discusses how regulators are increasing enforcement and urging firms to improve oversight, as seen in cases such as the 'Whatsapp' fines and JP Morgan's market manipulation, underscoring the broader impact of market abuse on consumers.
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: 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
In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.