FCA

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.

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.

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.

Remediate, recordkeep, rinse, repeat – SEC sets out decision making process behind recordkeeping fines

The SEC sets out the rationale behind its recordkeeping enforcements, increasing its transparency and pushing for greater accountability across the industry.

Case-by-Case: FCA clarifies how new “name and shame” approach will be implemented

In a recent webinar, Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, FCA, detailed how the regulator will implement its new “name and shame” approach to investigations – and how it will act as a deterrent.