FCA Survey finds 178 WhatsApp policy breaches, with over 41% from senior staff
A survey of 11 wholesale banks found that 178 breaches of communications compliance policies were reported, despite firms introducing compliance recording and monitoring solutions, and the majority came from senior employees.
$15,000 FINRA fine for concealing profit-sharing via off-channel communications
A former Charles Schwab representative has been fined $15,000 and suspended for concealing an unauthorized profit-sharing agreement in “thousands” of off-channel text messages and emails.
The Source Podcast: Teamwork makes the dream work – How to get employee buy-in on compliance
In this episode of The Source podcast, we explore why firms are struggling to get employees to stick to compliance rules and to set the right "tone from the top" for them to follow. Featuring special guest conduct, culture, and risk expert Emma Parry.
The emerging core competency of data governance
A good data governance framework requires a wide audit and strategic approach to avoid regulatory risk, and in order to use data as an asset.
Regulatory Wrap episode 63: Is comms compliance at a tipping point?
In Regulatory Wrap for the week to June 13, Rob Mason dissects key findings from our latest Industry Insights: Compliance Communications 2025 Report.
FINRA fine shows off-channel comms are still on the record
Despite a global push towards reduced regulation, a recent FINRA-issued fine for off-channel communication shows that recordkeeping and surveillance remain a regulatory priority.
How a people-first plan ensures effective data governance in the age of AI
Life sciences companies are keen to utilize cutting-edge AI tools and software, but data governance programs need to be in top form first.
Danish FSA finds data completeness failings at three major banks
A thematic study by the Danish financial regulator has identified data completeness and recordkeeping failures relating to voice and electronic communications at Danske Bank, Jyske Bank, and Nykredit Bank.
Four key challenges for compliant mobile communications in healthcare and life sciences
Compliance teams in healthcare and life sciences must balance both regulatory restrictions and the needs of employees to achieve compliant mobile communications with corporate devices.
Third party, outsourced arrangements and the need for a consolidated approach to compliance
Firms must do their due diligence and ensure activities both in-house and outsourced are being monitored to ensure they are compliant.
From Instagram grids to behind bars: Finfluencers are under investigation
The FCA is cracking down on finfluencers as firms face growing pressure to closely monitor and regulate their social media promotions.