On the books – FINRA fine proves marketing comms can be a recordkeeping risk
A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.
Case-by-Case: FCA clarifies how new “name and shame” approach will be implemented
In a recent webinar, Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, FCA, detailed how the regulator will implement its new “name and shame” approach to investigations – and how it will act as a deterrent.
Frantic February: Should compliance teams be worried after a mega month for the FCA?
Does increased action from the U.K. regulator suggest that new hires and new strategies are taking effect? And what does this mean for your compliance team?
JPMorgan Chase hit with almost $350 million in fines for gaps in trade surveillance data
With JPMorgan Chase being fined a considerable $350 million sum for “unsafe or unsound” practices around trade surveillance, what impacts will this have on how firms trade and communicate compliantly?
AI’s impact on the financial industry – SEC speaks to its risks, revolutionization, and everything in between
The SEC’s Chairman Gary Gensler recently spoke about the challenges and benefits AI presents to the financial world on a micro and macro level. Ensure you’re on track to identify, adapt, and manage these points as this technology rapidly develops for compliance teams.
Car Crash or New Superhighway? – AI, Audits, Accountability, and the FCA
A recent speech from the Chief Executive of the FCA has outlined their direction of travel on Big Tech and AI regulation. But with the FCA itself being audited on its effectiveness as a ‘digital regulator’, what does this mean for organizations and accountability?
Mail disorder – J.P. Morgan Fined by SEC for deletion of 47million communications
The financial services giant has been fined $4 million and censured for the permanent deletion of communications data that was required to be retained under Exchange Act rules.
Marketing Compliance – One Rule to Rule Them All
The marketing department may be your least-expected area of compliance risk. The regulators are on to it, and you should be too. We set out five critical questions for confident compliance with new marketing rules.
OCC Semiannual Report Puts Banking Risks in Perspective
The Office of the Comptroller of the Currency’s report has highlighted the key areas of risk that banks need to manage to stay resilient and maintain confidence – and counseled against complacency.
Is Regulation Keeping Pace with AI Innovation?
The SEC’s recently laid out rule-writing agenda shows they have AI in their sights. But is the speed of technological innovation outpacing regulation?
SEC drops 42 cases after record control failures
The SEC has dismissed 42 cases under investigation after it failed to properly manage internal records access procedures and controls.