How are financial regulators approaching AI integration?
Regulators globally have been implementing a variety of measures to manage the utilization of AI within the financial sector. We take a look at the key approaches so far.
Exclusive: A fireside chat with Jamie Bell, Head of Secondary Market Oversight at the FCA
On February 7, 2024 we were joined by Jamie Bell, Head of Secondary Market Oversight, FCA, to discuss conduct, culture, and compliance challenges – from non-financial misconduct to AI and crypto.
ECB’s cyber resilience stress tests are on the horizon for 2024
Amidst a series of regulatory conversations spotlighting security, stability, and resilience, the ECB has announced a stress test aimed to assess how financial firms respond when faced with a simulated cyberattack.
Compliant communications Q&A: 4 ways to combat common challenges
Compliant communication – what makes it so difficult to control? Financial experts unpack the challenges that coincide with communications, especially when contending with new channels and rigorous regulatory enforcement, and answer pressing questions on how best to navigate them.
Will the FCA crack down on WhatsApp? What happened and what’s next
Multiple U.S. and U.K. regulators have taken enforcement action against firms for off-channel communications on WhatsApp, however, the primary U.K. regulator is yet to make it a clear priority. What can we expect from the Financial Conduct Authority (FCA) going forward?
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’?
The FCA’s vision to become a more ‘effective regulator’
The FCA touched on several points recapping its progress over the past couple of years and outlines goals to ignite long-term growth through an adapted regulatory approach. This “growth mindset” comes after industry response that it desires enhanced effectiveness and efficiency concerning regulatory measures.
Heads or t-AI-ls: FCA speech sets out ‘coin toss’ view on AI adoption
A recent speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, has laid out FCA’s views on AI, its potential, and how we might already have the frameworks to regulate its use.
FCA and PRA propose rules around misconduct to boost diversity and inclusion
The FCA and PRA have published a Consultation on new requirements that support diversity and inclusion by reinforcing action against non-financial misconduct and enhancing workplace culture.
Regulatory Wrestling – The Compliant Culture Smackdown: Blow by Blow
Pull up your ringside seat and re-live the rumble with our blow-by-blow breakdown of Regulatory Wrestling – The Compliant Culture Smackdown.
Compliance Podcast Series: Episode 5 – Stay Ahead of Regulations
In the final episode of the series, Raewyn Danvers, Global Relay Sales Manager, Unified Communications, shares her insights into how industry professionals can get ahead (and stay ahead) of regulatory compliance technology trends.