Regulatory Compliance

FCA and FINRA shift attention to individual accountability with misconduct fines

Regulators are taking a hardline stance on personal conduct and accountability, as shown by the latest FINRA enforcement action against a broker for exam cheating, as well as a £1 million FCA fine against a CEO for “lack of integrity through misleading statements.

Solve financial data retention with unified compliance

Financial firms face mounting pressure to retain vast amounts of data while satisfying stringent regulations and privacy requirements, demanding innovative, future-proof solutions.

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$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.

Regulatory Wrap episode 66: The FCA vs. market abuse

In Regulatory Wrap for the week to July 18, Aarti Agarwal discusses how the FCA has ramped up efforts to tackle market abuse and protect integrity.

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.

The Conduct Chronicles – Can AI boost conduct and culture?

Emma Parry highlights the benefits of AI in defining a culture that enables self-reporting, working to analyze large data sets and detect areas for further investigation.

FCA to streamline SM&CR in bid to reduce regulatory burdens

Amid efforts by the U.K. government to boost investment, innovation, and growth by cutting “red tape”, the Financial Conduct Authority has laid out plans to “streamline” elements of the Senior Managers and Certification Regime to “make the regime less onerous to firms.”

Secure, seamless, streamlined – Why switch to Global Relay?

While changing unified communications vendors may not have been part of your plan for 2025, switching can unlock benefits including increased security, reduced complexity, and enhanced data completeness – and the switchover process doesn’t have to be painful.

Regulatory Wrap episode 65: The FCA expands misconduct rules to 37,000 firms

In Regulatory Wrap for the week to July 11, Rob Mason recounts the FCA’s decision to expand misconduct rules to 37,000 non-banking firms in 2026.

FCA leaves non-financial misconduct nowhere to hide with broader rules

The U.K. regulator has clarified its expectations on bullying and harassment and will extend rules on non-financial misconduct reporting to 37,000 non-bank firms by September 2026.

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