Regulatory Wrap Episode #21: Addressing Non-Financial Misconduct, Insider Trading & #FCA’s Strategy
In Regulatory Wrap for the week to March 1, Rob Mason discusses the FCA’s mission to pursue and prevent non-financial misconduct as well as insider dealing cases.
Artifice and Intelligence – What does AI insider trading mean for regulation?
With a recent demonstration proving that AI is capable of performing illegal trades – and lying about them – where do regulators stand on the ‘AI question’?
Regulatory Wrap Episode 12: FCA Market Watch & Innovative Trading Firm Unveiled
In Regulatory Wrap for the week to November 3, 2023, Rob Mason examines the insights gleaned from the FCA Market Watch 75 report.
$40,000 fine for individual who used personal phone for business
FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.
Trouble at the top? SEC charges senior execs with insider trading
The SEC has charged a CCO, CSO, and a Police Chief with insider trading. Are senior leaders muddying the waters when it comes to compliance?
Crypto communication: insider trades and regulatory crusades
The former product manager of cryptocurrency exchange platform Coinbase has been sentenced after being found guilty of insider trading.