In Regulatory Wrap for the week to November 17, 2023, Jennie Clarke unpicks Securities and Exchange Commission’s Enforcement Results 2023.
In Regulatory Wrap for the week to October 27, 2023, Jennie Clarke explores regulatory enforcement trends from throughout the year - and what these can tell us about potential trends for 2024
Regulators are tightening their net to catch firms who fail to prevent the use of illicit communications. We look at where off-channel communication channels are hiding, and how to find them.
There's hidden gold in all enforcements. We take a look at regulatory lessons in light of a £48m fine for operational resilience failures.