FCA follows the current of reduced regulation
In a major shift from its former 'name and shame' proposed strategy, the FCA is now taking a collaborative approach with firms in order to encourage economic growth by reducing regulatory burdens.
Regulatory Wrap episode 62: DOJ makes self-disclosure a strategic advantage
In Regulatory Wrap for the week to May 23, Ryan Sheridan uncover how the DOJ’s updated white-collar enforcement plan repositions self-disclosure as a commercial advantage.
SEC leadership outlines a pivoting path of regulation and enforcement
At an SEC event, several Commission leaders shared their views on altering regulation going forward, with focuses on pro-innovation policies, crypto rulemaking, and reduction of the regulatory burden. What does this move toward deregulation mean for firms?
DOJ reforms self-disclosure approach with new corporate enforcement plan
The DOJ has altered its corporate enforcement policy to simplify investigations and amplify the benefits firms can receive by self-reporting, fully cooperating, and effectively remediating misconduct.
How can communications surveillance help pharma firms avoid fines?
Pharmaceutical companies urgently need robust communication surveillance to avoid data risks and reputational damage.
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.
Regulatory Wrap Episode #44: TD Bank hit with $3 Billion Fine
In Regulatory Wrap for the week to October 18, Rob Mason discusses a record $3 billion fine against TD Bank for serious anti-money laundering (AML) failures.
Key updates to the DOJ’s Evaluation of Corporate Compliance Programs
The September 2024 update to the Department of Justice’s (DOJ) Evaluation of Corporate Compliance Programs (ECCP) gives firms much to contemplate and some pressing concerns to address, including the risks associated with emerging technologies.
TD Bank earns itself $3 billion fine for ‘placing profit over compliance’
A $3 billion dollar fine has been imposed upon TD Bank for anti-money laundering failings and violating the Bank Secrecy Act.
Managing the compliance risks of ephemeral messaging to meet DOJ guidance in healthcare and pharmaceuticals
Healthcare organizations and the pharmaceutical industry must look to implement solutions to ephemeral messaging in their compliance strategies.
Regulatory Wrap Episode 13: WhatsApp Challenges for the U.S. DOJ and U.K. MPs
In Regulatory Wrap for the week to November 10, 2023, Jennie Clarke unpicks the DoJ's expectations around corporate compliance and UK politics' WhatsApp problem
