SEC doubles down on off-channel communications settlements
The SEC has denied a motion raised by 16 firms to modify or amend previously agreed settlements for off-channel communication violations that sought to “equalize” their ongoing compliance responsibilities with more recent enforcement cases.
What does the data of 12,000 financial organizations reveal about industry trends?
On February 5, 2025, we were joined by a panel of compliance and surveillance experts to explore top compliance trends, answering questions including whether the FCA is complicating compliance, how AI is being used for surveillance, and if conduct and culture should be high on firm’s agendas.
FCA ‘name and shame’ proposals deemed “an abject failure” amid ongoing criticism
The Financial Conduct Authority continues to face criticism for its controversial proposals to ‘name and shame’ firms under investigation. With the regulator promising a “different relationship” with the industry, could this mark the end of the unpopular policy?
Regulatory Wrap Episode 3: Ofgem Fines Morgan Stanley, WhatsApp Ban Backfires
In Regulatory Wrap for the week to August 25, 2023, we take a look at Ofgem's £5 million fine to Morgan Stanley for recordkeeping failures.
Regulatory Wrap Episode 2: Off-Channel Comms & Global Accountability
In Regulatory Wrap for the week to August 18, 2023, we take a look at the hot topics to watch out for over the rest of 2023.
