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.
The Conduct Chronicles – Does the CFTC practice what it preaches?
Emma Parry examines the CFTC's performance, revealing concerns about its conduct in legal proceedings and internal operational failings, highlighting the urgent need for reform and accountability.
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.
Another one bites the dust as Coinbase Global suffers major data breach
Coinbase Global is the latest case in an onslaught of data breaches this year. As cyberthreats grow more complex, firms must look to prioritize data security to ensure their systems are impenetrable, and any risk is flagged immediately.
Is recordkeeping the key to managing personal regulatory risk?
Firms need strong recordkeeping to manage personal regulatory risk and meet growing accountability demands. Clear documentation helps prove compliance and shields managers from liability.
Global Relay’s AI-enabled approach to surveillance
Levelling up from lexicon-based system, Global Relay Surveillance uses GenAI and LLMs to deliver accurate risk analysis.