Conduct and culture: A growing focus for U.S. regulators?
Discover how the focus on conduct and culture has developed over the last several years in U.S. financial regulation.
Regulatory Wrap Episode 41: Citigroup’s Data Compliance Struggles
In Regulatory Wrap for the week to September 20, Jay Hampshire discusses another fine from SEC for recordkeeping failures in addition to other related data compliance concerns.
Regulatory Wrap Episode #25: 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.
Frantic February: Should compliance teams be worried after a mega month for the FCA?
Does increased action from the U.K. regulator suggest that new hires and new strategies are taking effect? And what does this mean for your compliance team?
Regulatory Wrap Episode #24: 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.
JPMorgan Chase hit with almost $350 million in fines for gaps in trade surveillance data
With JPMorgan Chase being fined a considerable $350 million sum for “unsafe or unsound” practices around trade surveillance, what impacts will this have on how firms trade and communicate compliantly?
Four ways compliance technology mitigates the Fed’s threats to financial system resilience
The U.S. Federal Reserve Board has set out key risks to financial system resilience in 2023. We explore how compliance technology mitigates these risks.
Proposed amendments to FINRA Rule 3110 alter regulatory expectation for WFH
FINRA has published amendments to Rule 3110.19, which would alter the frequency that on-site visits are conducted for home offices.
Fed report on SVB crash: time for a change?
The U.S. Federal Reserve Board has published its review into the collapse of Silicon Valley Bank, unveiling wide-ranging failures from both sides of the regulatory fence.