Regulatory action

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.

On the books – FINRA fine proves marketing comms can be a recordkeeping risk

A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.

Regulatory Wrap Episode #22: Social Media & Compliance, Exploring Fraudulent CEOs & Market Swings

In Regulatory Wrap for the week to March 8, Jennie Clarke asks a timely question: are you managing the risks social media poses to compliance?

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.

Regulatory Wrap Episode #20: Analyzing FCA’s Market Watch 76, Key Insights On Compliance Trends

In Regulatory Wrap for the week to February 23, Rob Mason breaks down the FCA's Market Watch 76, which covers "flying" and "printing" as continuing risks in the industry.

Regulatory Wrap Episode #19: Examining Market Watch 77’s Fight Against Organized Crime

In Regulatory Wrap for the week to February 16, Jennie Clarke reports on the FCA’s recent investigation involving money laundering and insider dealing found to be connected to organized crime groups.