Stop, cooperate, and listen – The five principles of cooperating with SEC investigations
Gurbir Grewal, the Director of the SEC’s Division of Enforcement, has laid out five principles firms should adhere to in order to effectively work with investigations – and secure better outcomes.
Capture if you can webinar: Your questions answered
Industry experts answer compliance questions posed by the audience in our ‘Capture if you can’ webinar.
The SEC sweeps, the SEC scores – five further firms fined under Marketing Rule
The SEC has fined five registered investment advisers for hypothetical performance advertising, hindering their consumers’ ability to make an informed judgment around financial decisions. Now, the regulator is spelling the dos and don’ts of the Marketing Rule.
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.
Case-by-Case: FCA clarifies how new “name and shame” approach will be implemented
In a recent webinar, Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, FCA, detailed how the regulator will implement its new “name and shame” approach to investigations – and how it will act as a deterrent.
Frantic February: Should compliance teams be worried after a mega month for the FCA?
Does increased action from the U.K. regulator suggest that new hires and new strategies are taking effect? And what does this mean for your compliance team?
JPMorgan Chase hit with almost $350 million in fines for gaps in trade surveillance data
With JPMorgan Chase being fined a considerable $350 million sum for “unsafe or unsound” practices around trade surveillance, what impacts will this have on how firms trade and communicate compliantly?
Regulatory Wrestling – The Compliant Culture Smackdown: Blow by Blow
Pull up your ringside seat and re-live the rumble with our blow-by-blow breakdown of Regulatory Wrestling – The Compliant Culture Smackdown.
£80k fine for Chief Information Officer who mismanaged IT migration
The Prudential Regulation Authority has fined the former Chief Information Officer of TSB £81,620 for his role in the mismanagement of a 2018 IT migration which saw hundreds of customers unable to access funds.