SEC

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.

Regulatory Wrap Episode #22: Social Media & Compliance, Exploring Fraudulent CEOs & Market Swings

In Regulatory Wrap for the week to March 8, Jennie Clarke asks a timely question: are you managing the risks social media poses to compliance?

Regulatory Wrap Episode 17: Regulatory Priorities, 2024 Major Trends, and a New Focus for the FCA

In Regulatory Wrap for the week to January 26, 2024, we explore how 2024 could see heavy regulatory focus on non-financial misconduct, and how the FCA is leading the charge when it comes to policing proper conduct.

Cryptic crypto – FINRA says crypto marketing needs clearing up

After a two-year review, FINRA has found that 70% of broker dealers’ crypto marketing communications violate rules requiring they be “fair and balanced”.

What can financial services firms learn from the SEC’s X account hack?

With the Securities and Exchange Commission’s X account being hacked and used to share false information, what lessons can firms learn to minimize social media risk?

Regulatory Wrap Episode 15: Global Relay Data Insights Report, LinkedIn’s Compliance Risks Unveiled

In Regulatory Wrap for the week to December 8, 2023, Jennie Clarke looks into why LinkedIn could cause the next compliant comms crisis

What do the SEC enforcement results tell us about compliance trends?

With the Securities and Exchange Commission releasing its annual enforcement results, we explore what they convey about regulatory priorities over the last year – and for the year to come.

Regulatory Wrap Episode 14: SEC Enforcement Results 2023

In Regulatory Wrap for the week to November 17, 2023, Jennie Clarke unpicks Securities and Exchange Commission’s Enforcement Results 2023.

12 Do’s and Don’ts of Internal Communications

Internal communication is a vital – but often overlooked – function within a business that can help to reinforce cultural values, ensure employees feel part of something, and even mitigate potential compliance risks. We explore the do’s and don’ts that will enhance your internal communications strategy.

Artifice and Intelligence – What does AI insider trading mean for regulation?

With a recent demonstration proving that AI is capable of performing illegal trades – and lying about them – where do regulators stand on the ‘AI question’?