Regulatory Compliance

Name and shame – FCA vows more transparency to increase deterrence

The Financial Conduct Authority has set out its commitment to increasing transparency of its investigations, intending its new “name and shame” strategy to deter firms and individuals from non-compliance.

Regulatory Wrap Episode 18: Market Watch 76 – Decoding Market Dynamics and the FCA’s Evolution

In Regulatory Wrap for the week to February 9, 2024, we share insight into the FCA's recently published Market Watch 76 report, and how concerns around potential market abuse and 'flying and printing' that were first raised back in 2015 are still causing regulatory rumblings today.

Why cybersecurity is the one to watch for global regulators in 2024

Rapid digitalization and technological innovation have offered a wealth of advantages to financial industry practices by redefining business operations. Though, consequently, the threat to cybersecurity is as present as ever. How have regulators begun to maneuver this pressing matter? And will it be a trend to watch in the coming year?

Letter of intent – FCA requests non-financial misconduct data from insurance firms

The FCA has continued its focus on non-financial misconduct by issuing a letter to insurers and insurance agents requesting information on NFM incidents at firms – including the outcomes of these incidents.

Exclusive: A fireside chat with Jamie Bell, Head of Secondary Market Oversight at the FCA

On February 7, 2024 we were joined by Jamie Bell, Head of Secondary Market Oversight, FCA, to discuss conduct, culture, and compliance challenges – from non-financial misconduct to AI and crypto.

Play chess, not checkers: 5 ways firms can fortify policies against noncompliance

Noncompliance risks may not be completely unavoidable, but they can decrease substantially when financial organizations anticipate precarious situations and take steps to defend against them.

ECB’s cyber resilience stress tests are on the horizon for 2024

Amidst a series of regulatory conversations spotlighting security, stability, and resilience, the ECB has announced a stress test aimed to assess how financial firms respond when faced with a simulated cyberattack.

Webinar

On Demand: Comms in Crisis Webinar

Watch our on demand Webinar and join compliance industry experts as they answer the question: why is it so hard to communicate compliantly?

Compliant communications Q&A: 4 ways to combat common challenges

Compliant communication – what makes it so difficult to control? Financial experts unpack the challenges that coincide with communications, especially when contending with new channels and rigorous regulatory enforcement, and answer pressing questions on how best to navigate them.

Regulatory Wrap Episode 15: Global Relay Data Insights Report, LinkedIn’s Compliance Risks Unveiled

In Regulatory Wrap for the week to December 8, 2023, Jennie Clarke looks into why LinkedIn could cause the next compliant comms crisis

Will the FCA crack down on WhatsApp? What happened and what’s next

Multiple U.S. and U.K. regulators have taken enforcement action against firms for off-channel communications on WhatsApp, however, the primary U.K. regulator is yet to make it a clear priority. What can we expect from the Financial Conduct Authority (FCA) going forward?