Regulatory Wrap Episode #25: Reviewing Regulatory Risks, Lessons from a $350M Fine
In Regulatory Wrap for the week to April 5, Rob Mason considers how firms can ensure effective surveillance procedures and complete trading data capture in reflection of related enforcements.
Regulatory Wrap Episode #24: Revealing Regulatory Fines, Deficiencies & Penalties
In Regulatory Wrap for the week to March 22, Rob Mason recounts what led to joint action penalties against a major U.S. investment bank for its lacking surveillance program.
Regulatory Wrap Episode #23: Mastering Operational Resilience and Cyber Compliance
In Regulatory Wrap for the week to March 15, Jennie Clarke covers cyber resilience and the regulatory activity taking place throughout the year to protect firms’ safety.
AI’s impact on the financial industry – SEC speaks to its risks, revolutionization, and everything in between
The SEC’s Chairman Gary Gensler recently spoke about the challenges and benefits AI presents to the financial world on a micro and macro level. Ensure you’re on track to identify, adapt, and manage these points as this technology rapidly develops for compliance teams.