Surveillance

Regulatory Wrap Episode 31: The SEC’s Five Principles of Effective Cooperation

In Regulatory Wrap for the week to June 7, Rob Mason covers the SEC’s continued pursuit of regulatory transparency with its “five principles of effective cooperation” relating to investigations.

Global Relay Industry Insights: Compliant Communications 2024

Global Relay has compiled and analyzed industry responses to regulatory action to lift the lid on how compliance, risk, and surveillance executives are managing business communication, and their attitudes to emerging risk, from AI to social media.

Social surveillance: The importance of comms capture for social media compliance

In addition to capturing communications channels like email, IM, and SMS, compliance teams must realize the importance of capturing data from social media platforms. To effectively manage widely used applications, firms should consider social surveillance and strategies to curb risks.

Regulatory Wrap Episode 26: Regulators & Recordkeeping Rules, The SEC and FCA Increase Transparency

In Regulatory Wrap for the week to April 12, Rob Mason discusses the theme of transparency with financial regulators, including the SEC’s explanation about the trigger factors that lead to investigations.

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.

Frantic February: Should compliance teams be worried after a mega month for the FCA?

Does increased action from the U.K. regulator suggest that new hires and new strategies are taking effect? And what does this mean for your compliance team?

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.

JPMorgan Chase hit with almost $350 million in fines for gaps in trade surveillance data

With JPMorgan Chase being fined a considerable $350 million sum for “unsafe or unsound” practices around trade surveillance, what impacts will this have on how firms trade and communicate compliantly?

Regulatory Wrap Episode 18: Market Watch 76 – Decoding Market Dynamics and the FCA’s Evolution

In Regulatory Wrap for the week to February 9, 2024, we share insight into the FCA's recently published Market Watch 76 report, and how concerns around potential market abuse and 'flying and printing' that were first raised back in 2015 are still causing regulatory rumblings today.

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.

Play chess, not checkers: 5 ways firms can fortify policies against noncompliance

Noncompliance risks may not be completely unavoidable, but they can decrease substantially when financial organizations anticipate precarious situations and take steps to defend against them.