The Conduct Chronicles – “On the Public Record”
Emma Parry writes on her experience of misconduct within the financial services, and how firms must do more than monitor communications to prevent it.
Bad finfluence – Is influencer marketing worth the risks?
With the FCA having announced court dates for a case against nine social media influencers involved in non-compliant financial promotions, do the benefits outweigh the risks for ‘finfluencer’ marketing?
Regulatory Wrap Episode 35: CFTC Commissioner Pham Calls for Reform Amid Allegations
In Regulatory Wrap for the week to July 12, Jay Hampshire reviews CFTC Commissioner Caroline Pham’s statement on misconduct within the CFTC.
On Demand: Compliance & Conversation – SMCR struggles – what does the SMCR extension mean for you?
On July 3, 2024, Global Relay hosted its annual Compliance & Conversation event, where compliance professionals and industry experts convened to discuss the new challenges and priorities at the fore of the regulatory landscape.
Transparency continued – The SEC clarifies its examination selection process for broker-dealers
The SEC’s Division of Examinations released a Risk Alert defining the elements it weighs when selecting broker-dealers as examination candidates, illuminating how firms can prepare and refine their compliance efforts.
Social surveillance: The importance of comms capture for social media compliance
In addition to capturing communications channels like email, IM, and SMS, compliance teams must realize the importance of capturing data from social media platforms. To effectively manage widely used applications, firms should consider social surveillance and strategies to curb risks.
Regulatory Wrap Episode 30: The FCA’s Operational Resilience Insights
In Regulatory Wrap for the week to May 31, Jennie Clarke discusses the theme of operational resilience, specifically reviewing the focal points the FCA highlighted in its operational resilience insights.
FCA’s Operational Observations: are firms prepared for operational resilience deadline?
The Financial Conduct Authority has published its observations on how firms are preparing for new operational resilience rules coming into force in 2025, which acts as a guide of focus areas for firms.
Keeping watch – Key learnings from the FCA’s Market Watch
The U.K. regulator’s Market Watch newsletter provides insight into areas of focus, investigatory findings, and potential upcoming enforcement priorities, and is a must-read for firms looking to stay on the right side of regulation.
Regulatory Wrap Episode 29: FCA’s Insights on Trade Surveillance
In Regulatory Wrap for the week to May 17, Rob Mason analyzes the FCA’s Market Watch 79 release and its observations about firms’ trade surveillance practices.
How are financial regulators approaching AI integration?
Regulators globally have been implementing a variety of measures to manage the utilization of AI within the financial sector. We take a look at the key approaches so far.