Surveillance Snippets: Surveil now to save later – why should firms invest anyway?
By establishing a well-nourished surveillance system early on, firms can reap invaluable benefits later, such as avoiding steep regulatory fines and boosting operational efficiencies.
Understanding Compliance Risk Management: Definitions, Importance, and Strategies
Looking back on the first half of this decade, it’s clear that regulators have been under pressure to constantly introduce and update the rules to meet modern demands, leading to a very dynamic market.
Surveillance Snippets: Mind the data capture gap with surveillance strategies
When considering surveillance, it all comes down to data – and missing or incomplete datasets could pose a dire issue. How can firms reevaluate their surveillance governance and data management to maintain compliance with U.S. regulators?
Surveillance Snippets: Striking the balance between communications surveillance and privacy
In persisting enforcements for recordkeeping failures, regulators stress the need to “reasonably supervise personnel” to detect and prevent possible violations. But how can firms ensure effective supervision when questions of privacy rights arise?
Regulatory Wrap episode 56: FCA pivots on “name and shame”
In Regulatory Wrap for the week to March 21, Kathryn Fallah discusses the FCA’s decision to axe its controversial “name and shame” proposal.
Regulatory Wrap episode 55: Catching the culture bug
In Regulatory Wrap for the week to March 14, Rob Mason reviews an FCA speech on culture's ability to spread within an organization.
The Conduct Chronicles – Fast and furious: The Regulatory Hazards of Fast Growth
While rapid growth can signal success, without proper governance and risk management, it can quickly spiral into regulatory trouble. This edition of The Conduct Chronicles explores how companies scaling too fast often face compliance failures, consumer backlash, and heightened scrutiny.
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.
Four key steps to mitigate social media risk
How can firms address the compliance risks that come along with social media's integration into business operations?
How can a lack of generative AI investment pose compliance risks?
As generative AI continues to become integrated into business practices, firms need to invest in secure solutions that mitigate the risks that comes along with the use of unapproved applications.
Stand the resilience test – OSFI adds to the operational resilience conversation
In line with measures other regulators have taken, OSFI released its final Guideline E-21 on operational risk and resilience, which outlines expectations for firms to prepare for and respond to disruptive events that could affect business operations.