$10,000 fine continues FINRA’s off-channel communications crackdown
FINRA has fined and suspended an ex-B. Riley broker for sending business-related communications via an unapproved personal email account, continuing its enforcement streak against recordkeeping violations.
How can healthcare and life sciences organizations control GenAI recordkeeping risks?
With the use of generative AI tools like ChatGPT increasing within healthcare and life sciences organizations, how can businesses balance compliance and modernization while tapping into the benefit AI can offer?
How much can weak cybersecurity structures cost firms?
With cybercriminals ramping up the frequency and complexity of attacks against financial organizations, it’s evident that a lacking security infrastructure can take a significant toll on not just revenue and business operations – but reputation.
Proactive cooperation reduces CFTC fines to $8 million
The CFTC’s recent “enforcement sprint” initiative saw 10 firms fined a combined amount of $8.3 million, with most receiving fine reductions for “exemplary cooperation” and remediation plans – demonstrating the benefits of self-reporting and collaboration with the regulator.
Five ways a single-vendor solution can mitigate data governance risks
Learn how a single-vendor solution can capture, store, and monitor business communications to enable complete compliance, all while protecting your data.
Regulatory Wrap episode 69: DOJ pushes firms to self-disclose misconduct
In Regulatory Wrap for the week to September 5, Aarti Agarwal discusses the DOJ’s efforts to encourage self-disclosure with its new policy.
The Department of Justice’s Corporate Enforcement Policy
Learn more about the Department of Justice's updates to its Corporate Enforcement Policy in our latest whitepaper, and how AI-enabled communications surveillance can allow your firm to stay ahead of regulatory enforcement by detecting and flagging misconduct quickly and efficiently.
Are we entering a new era of deregulation?
With regulators shifting focus away from enforcement and emphasizing the benefits of self-reporting early, are we entering a period of deregulation in financial services – and what does this mean for firms?
FDA takes aim at pharmaceuticals’ social media activity
The FDA is turning its eye towards pharmaceuticals’ social media use. Review the laws and regulations triggering FDA warning letters and how to stay compliant.
Four key challenges for compliant mobile communications in healthcare and life sciences
Compliance teams in healthcare and life sciences must balance both regulatory restrictions and the needs of employees to achieve compliant mobile communications with corporate devices.
From Instagram grids to behind bars: Finfluencers are under investigation
The FCA is cracking down on finfluencers as firms face growing pressure to closely monitor and regulate their social media promotions.