Are we entering a new era of deregulation?
With regulators shifting focus away from enforcement and emphasizing the benefits of self-reporting early, are we entering a period of deregulation in financial services – and what does this mean for firms?
The Conduct Chronicles – SEC Renegotiation? Not a chance!
Regulators are reviewing and revising regulations by creating a less intense process for financial services looking to comply with the rules, and while the SEC has refused revisiting past settlements, FINRA seems to be on the case.
What’s next for crypto from the SEC’s view
As the SEC wraps up its Crypto Task Force roundtable series, covering topics from blockchain to crypto custody to decentralized finance, has the regulator come closer to defining the future framework for crypto asset regulation?
Data structure and enrichment is key to unlocking the full potential of AI-powered surveillance
More than two-thirds of compliance teams have or are considering implementing AI tools. Learn how the clear, content-rich format of Unified Parsed Messages boosts the speed and accuracy of AI-powered surveillance.
Surveillance Snippets: Step up the surveillance game with AI enablement
High volumes of data require high-tech surveillance systems to keep pace – which is where AI comes in. How can AI-enablement help firms take their surveillance governance to the next level?
From Instagram grids to behind bars: Finfluencers are under investigation
The FCA is cracking down on finfluencers as firms face growing pressure to closely monitor and regulate their social media promotions.
FCA follows the current of reduced regulation
In a major shift from its former 'name and shame' proposed strategy, the FCA is now taking a collaborative approach with firms in order to encourage economic growth by reducing regulatory burdens.
SEC leadership outlines a pivoting path of regulation and enforcement
At an SEC event, several Commission leaders shared their views on altering regulation going forward, with focuses on pro-innovation policies, crypto rulemaking, and reduction of the regulatory burden. What does this move toward deregulation mean for firms?
Surveillance Snippets: Is evolving technology the answer to all surveillance questions?
The only way for firms to keep pace with industry modernization is to invest in technologies that are equipped to adapt to evolving compliance and surveillance needs.
DOJ reforms self-disclosure approach with new corporate enforcement plan
The DOJ has altered its corporate enforcement policy to simplify investigations and amplify the benefits firms can receive by self-reporting, fully cooperating, and effectively remediating misconduct.
Is FINRA focusing on fairness by reducing HSP compliance burdens?
The SEC's January 2025 settlements for off-channel comms violations introduced lighter compliance terms, creating a divergence between earlier enforcement actions that imposed stricter membership oversight requirements on FINRA firms. After the SEC's rejection of a petition to review the pre-2025 settlements, FINRA is now looking to level the field by easing collateral consequences.