Senior Leaders

Regulatory Wrap episode 68: FCA WhatsApp breach survey

In Regulatory Wrap for the week to August 18, Jennie Clarke discusses recent FCA survey results, which found that firms are still grappling with off-channel comms violations.

FINRA fine shows off-channel comms are still on the record

Despite a global push towards reduced regulation, a recent FINRA-issued fine for off-channel communication shows that recordkeeping and surveillance remain a regulatory priority.

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