Heads or t-AI-ls: FCA speech sets out ‘coin toss’ view on AI adoption
A recent speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, has laid out FCA’s views on AI, its potential, and how we might already have the frameworks to regulate its use.
Working as Advertised – SEC Marketing Rule enforcements hit nine firms with $850,000 in fines
The SEC has charged nine RIAs with breaching its Marketing Rule by advertising ‘hypothetical performance’ to the general public. With fines totalling $850,000 the regulator is making it clear that the answer to ‘are we compliant?’ should never be a hypothetical.
Compliance Podcast Series: Episode 5 – Stay Ahead of Regulations
In the final episode of the series, Raewyn Danvers, Global Relay Sales Manager, Unified Communications, shares her insights into how industry professionals can get ahead (and stay ahead) of regulatory compliance technology trends.
Compliance Podcast Series: Episode 4 -Global Relay Industry Insights Report
In part four of this five-part series, Jennie Clarke, Global Relay Head of Content, shares a preview of the findings and trends from our Compliant Communications 2023 industry insights report.
Compliance Podcast Series: Episode 3 – Regulatory Changes on the Horizon for UK Firms
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Car Crash or New Superhighway? – AI, Audits, Accountability, and the FCA
A recent speech from the Chief Executive of the FCA has outlined their direction of travel on Big Tech and AI regulation. But with the FCA itself being audited on its effectiveness as a ‘digital regulator’, what does this mean for organizations and accountability?
Compliance Podcast Series: Episode 2 – Is Business Innovation Being Stifled by Regulatory Action?
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Compliance Podcast Series: Episode 1 – The Future is Now: U.S. Regulatory Compliance
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
New Channels, New Challenges – Social media, emojis, and compliant communications
A recent ESMA supervisory briefing has highlighted the potential risks of social media when it comes to investment advice, and FINRA has set out expectations around emojis and compliant communications. How can firms keep pace with emerging technologies and risks?
Is the FCA becoming the ‘Financial Culture Authority’?
A recent speech from the FCA has highlighted culture as an area that organizations need to prioritize. Do rules like the upcoming Consumer Duty indicate that the FCA will be prioritizing culture when it comes to regulatory scrutiny?
New York Department of Financial Services revises vetting rules for CCOs
The New York Department of Financial Services has published revisions to the vetting guidance for CCOs and other members of the C-suite.