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.
Working as Advertised – SEC Marketing Rule enforcements hit nine firms with $850,000 in fines
The SEC has charged nine RIAs with breaching its Marketing Rule by advertising ‘hypothetical performance’ to the general public. With fines totalling $850,000 the regulator is making it clear that the answer to ‘are we compliant?’ should never be a hypothetical.
Goldman Sachs sacks four executives for serious violations of communications compliance policy
Goldman Sachs has terminated four executives, including its head of transaction banking, for “serious violations” of the firm’s communications policies and failure to cooperate with compliance teams.
Regulators throw the book at Goldman Sachs and Citigroup for recordkeeping failures
Enforcement actions from the SEC and CFTC against Citigroup and Goldman Sachs showcase that compliant recordkeeping is high on the regulatory agenda.
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.
Compliance Podcast Series: Episode 4 -Global Relay Industry Insights Report
In part four of this five-part series, Jennie Clarke, Global Relay Head of Content, shares a preview of the findings and trends from our Compliant Communications 2023 industry insights report.
Compliance Podcast Series: Episode 3 – Regulatory Changes on the Horizon for UK Firms
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Compliance Podcast Series: Episode 2 – Is Business Innovation Being Stifled by Regulatory Action?
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Compliance Podcast Series: Episode 1 – The Future is Now: U.S. Regulatory Compliance
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Compliance & Conversation: Event Overview
In the fast-changing compliance and risk environment, knowledge sharing and learning from collective experience is vital to ensuring organizations can handle today’s challenges – and those yet to come.
Personal Devices, Personal Liability
The Financial Industry Regulatory Authority’s recent sanction of an Edward D. Jones & Co. veteran is a stark warning that, when it comes to illicit communications, compliance just got personal.