The Conduct Chronicles – Does the CFTC practice what it preaches?
Emma Parry examines the CFTC's performance, revealing concerns about its conduct in legal proceedings and internal operational failings, highlighting the urgent need for reform and accountability.
Danish FSA finds data completeness failings at three major banks
A thematic study by the Danish financial regulator has identified data completeness and recordkeeping failures relating to voice and electronic communications at Danske Bank, Jyske Bank, and Nykredit Bank.
What’s next for crypto from the SEC’s view
As the SEC wraps up its Crypto Task Force roundtable series, covering topics from blockchain to crypto custody to decentralized finance, has the regulator come closer to defining the future framework for crypto asset regulation?
Four key challenges for compliant mobile communications in healthcare and life sciences
Compliance teams in healthcare and life sciences must balance both regulatory restrictions and the needs of employees to achieve compliant mobile communications with corporate devices.
Third party, outsourced arrangements and the need for a consolidated approach to compliance
Firms must do their due diligence and ensure activities both in-house and outsourced are being monitored to ensure they are compliant.
Surveillance Snippets: Step up the surveillance game with AI enablement
High volumes of data require high-tech surveillance systems to keep pace – which is where AI comes in. How can AI-enablement help firms take their surveillance governance to the next level?
From Instagram grids to behind bars: Finfluencers are under investigation
The FCA is cracking down on finfluencers as firms face growing pressure to closely monitor and regulate their social media promotions.
FCA follows the current of reduced regulation
In a major shift from its former 'name and shame' proposed strategy, the FCA is now taking a collaborative approach with firms in order to encourage economic growth by reducing regulatory burdens.
ACER shows suspicious transaction reports are rising across EU energy markets under new REMIT
The first-of-its-kind assessment looks at how regulators are processing reports of potential financial misconduct within wholesale energy markets and offers suggestions for PPATs to improve reporting amidst increased regulatory scrutiny.
The Conduct Chronicles – The challenge of proving market abuse
With the proliferation of communications channels and the evolution of tech, data completeness has never been more critical in tackling market abuse.
SEC leadership outlines a pivoting path of regulation and enforcement
At an SEC event, several Commission leaders shared their views on altering regulation going forward, with focuses on pro-innovation policies, crypto rulemaking, and reduction of the regulatory burden. What does this move toward deregulation mean for firms?