Transparency continued – The SEC clarifies its examination selection process for broker-dealers
The SEC’s Division of Examinations released a Risk Alert defining the elements it weighs when selecting broker-dealers as examination candidates, illuminating how firms can prepare and refine their compliance efforts.
Regulatory recordkeeping enforcement roundup: A storybook retelling
Follow the complete regulatory recordkeeping tale from initial enforcement action to present day and obtain insights analyzing the facts.
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.
Five developments to show why operational resilience should be on your radar
Operational resilience is an essential practice to remain protected in a landscape of intensifying cyber threats. Regulators have taken steps to demonstrate their increasing focus on this matter by implementing guidelines, frameworks, and direction to preserve security.
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.
What can financial services firms learn from the SEC’s X account hack?
With the Securities and Exchange Commission’s X account being hacked and used to share false information, what lessons can firms learn to minimize social media risk?
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?
What do the SEC enforcement results tell us about compliance trends?
With the Securities and Exchange Commission releasing its annual enforcement results, we explore what they convey about regulatory priorities over the last year – and for the year to come.
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’?
Regulatory Wrap Episode 10: Exploring the SEC’s 2024 Examination Process
In Regulatory Wrap for the week to October 20, Jennie Clarke summarizes the SEC’s 2024 Examination Priorities and what the regulator plans to concentrate on in the coming year.