Surveillance

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.

Surveil to prevail: An electronic communications webinar recap

The multiplication of communication channels makes it easier than ever before to communicate, yet increasingly difficult to comply within the financial services industry. In a recent webinar, industry experts including Global Relay’s Rob Mason set out how firms can manage risk by attending to surveillance strategies and communicating policies in a way that is comprehensive to employees and mindful of regulations.

CFTC Commissioner urges regulatory reforms to keep pace with technology

CFTC Commissioner Christy Goldsmith Romero’s recent remarks on keeping pace with evolving technologies like social media and AI highlight their ability to assist regulators by strengthening protection, broadening financial information outreach, and easing accessibility.

Webinar

On Demand: Regulatory Wrestling – The Compliant Culture Smackdown

Watch Global Relay's Regulatory Wrestling: The Compliant Culture Smackdown on demand.