Regulatory Wrap episode 57: AI in surveillance- is 2025 the turning point?
In Regulatory Wrap for the week to April 4, Kathryn Fallah dissects shifting industry views around AI for 2025.
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.
The Conduct Chronicles – ‘Lessons from the Farage Bank Account Furore’
Emma Parry reviews the Farage bank closure as a signal for banks to ensure they have proper data retention tools in place, clear rationales and compliance with Consumer Duty obligations to ensure they are prepared for any regulator investigations and good consumer outcomes.
Regulatory Wrap Episode 26: Regulators & Recordkeeping Rules
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.
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.
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.