The Conduct Chronicles – The Emerging Risks of LinkedIn
As social media opens up new avenues of communication, businesses face a new set of challenges. From possibilities of insider trading to investment scams, firms must take the necessary precautions to mitigate these potential risks.
SEC doubles down on off-channel communications settlements
The SEC has denied a motion raised by 16 firms to modify or amend previously agreed settlements for off-channel communication violations that sought to “equalize” their ongoing compliance responsibilities with more recent enforcement cases.
Regulatory Wrap episode 56: FCA pivots on “name and shame”
In Regulatory Wrap for the week to March 21, Kathryn Fallah discusses the FCA’s decision to axe its controversial “name and shame” proposal.
Regulatory Wrap episode 55: Catching the culture bug
In Regulatory Wrap for the week to March 14, Rob Mason reviews an FCA speech on culture's ability to spread within an organization.
FCA bans Crispin Odey as non-financial misconduct focus grows
With the FCA taking action against Crispin Odey, a controversial hedge fund manager who has been the subject of serious misconduct allegations, it seems the regulator is keeping its word on prioritizing non-financial misconduct.
Buying a compliance solution? 4 things to consider before you commit
Choosing a compliance technology vendor can be complex. Global Relay has highlighted four key considerations to bear in mind before you sign.
The Conduct Chronicles – Conduct and Culture: Insights from the US Record Keeping fines
Culture is determined by more than just 'tone from the top', it requires ongoing effort and investment. Firms should also look to celebrate good behavior, and ensure incidents of bad behavior are being escalated.
Regulatory Wrap episode 54: What’s going on with the FCA?
In Regulatory Wrap for the week to March 7, Rob Mason discusses why the FCA has been the subject of scrutiny since the beginning of 2025.
Game over – Controversial “name and shame” proposals axed by FCA
The U.K. financial regulator has confirmed that it won’t move forward with a policy planned to name firms under investigation following substantial criticism from industry and government figures.
On Demand: Compliance & Conversation – Recordkeeping and surveillance
Watch on demand as a panel of compliance and surveillance experts discuss trends including AI, social media, and culture and conduct risks.
The Conduct Chronicles – Fast and furious: The Regulatory Hazards of Fast Growth
While rapid growth can signal success, without proper governance and risk management, it can quickly spiral into regulatory trouble. This edition of The Conduct Chronicles explores how companies scaling too fast often face compliance failures, consumer backlash, and heightened scrutiny.