C-suite under scrutiny as data mishandling hinders investigation and fails to meet regulatory expectation
C-suite professionals are facing the repercussions of their inability to manage data reporting and controls efficiently. It is vital that senior officials set the 'tone at the top' by maintaining regulatory standards and ensuring that incomplete data submissions are seen as unacceptable.
Another day, another SEC fine: The SEC charges six credit agencies $49 million for recordkeeping failures
As the SEC rolls out another combined civil penalty, this time against credit rating agencies for recordkeeping failures, firms must look to ensure tone from the top, while the regulator must implement more robust deterrence methods to prevent further violations.
Change the record – SEC charges 26 firms combined $390 million for recordkeeping failures
With the SEC and CFTC acting against over two dozen firms for recordkeeping failures relating to off-channel communications, when will financial services finally get the message on communications compliance?
Regulatory recordkeeping enforcement roundup: A storybook retelling
Follow the complete regulatory recordkeeping tale from initial enforcement action to present day and obtain insights analyzing the facts.
Regulatory Wrap Episode 28: Analyzing FCA’s Controversial Enforcement Approach
In Regulatory Wrap for the week to April 26, Jennie Clarke reviews the FCA’s proposed enforcement approach to identify firms under investigation from the outset.
On Demand: Capture if You Can
Watch our on-demand Webinar and join compliance industry experts as they set out key strategies to combat non-compliant communications.
Regulatory Wrap Episode 27: SEC Crackdown, 5 Firms Fined for Marketing Rule Violations
In Regulatory Wrap for the week to April 19, Aarti Agarwal unpicks the SEC’s charges against five investment adviser firms for violating the Marketing Rule.
Regulatory Wrap Episode 26: Regulators & Recordkeeping Rules, The SEC and FCA Increase Transparency
In Regulatory Wrap for the week to April 12, Rob Mason discusses the theme of transparency with financial regulators, including the SEC’s explanation about the trigger factors that lead to investigations.
Regulatory Wrap Episode #25: Reviewing Regulatory Risks, Lessons from a $350M Fine
In Regulatory Wrap for the week to April 5, Rob Mason considers how firms can ensure effective surveillance procedures and complete trading data capture in reflection of related enforcements.
Regulatory Wrap Episode #24: Revealing Regulatory Fines, Deficiencies & Penalties
In Regulatory Wrap for the week to March 22, Rob Mason recounts what led to joint action penalties against a major U.S. investment bank for its lacking surveillance program.
Regulatory Wrap Episode #23: Mastering Operational Resilience and Cyber Compliance
In Regulatory Wrap for the week to March 15, Jennie Clarke covers cyber resilience and the regulatory activity taking place throughout the year to protect firms’ safety.