Data Migration & Integration

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?

Bigger and better – why growing communications networks need better data connectors

As the platforms we use to communicate have proliferated, so have the compliance challenges and the importance of Connectors.

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.

What do API Fee increases mean for communications compliance?

Technology vendors are increasing or imposing API fees on enterprise users of their collaboration and communications platforms – are they the new ‘cost of doing business’ compliantly?

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’?

Fair Warning – SEC sets out trigger factors for acting against CCOs

In a recent speech, Gurbir S. Grewal, Director of the Division of Enforcement for the SEC, laid out the triggers that will see the regulator acting against compliance functions – and gave insight on how to avoid them.

Car Crash or New Superhighway? – AI, Audits, Accountability, and the FCA

A recent speech from the Chief Executive of the FCA has outlined their direction of travel on Big Tech and AI regulation. But with the FCA itself being audited on its effectiveness as a ‘digital regulator’, what does this mean for organizations and accountability?

$40,000 fine for individual who used personal phone for business

FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.

Trouble at the top? SEC charges senior execs with insider trading

The SEC has charged a CCO, CSO, and a Police Chief with insider trading. Are senior leaders muddying the waters when it comes to compliance?

Mail disorder – J.P. Morgan Fined by SEC for deletion of 47million communications

The financial services giant has been fined $4 million and censured for the permanent deletion of communications data that was required to be retained under Exchange Act rules.

OCC Semiannual Report Puts Banking Risks in Perspective

The Office of the Comptroller of the Currency’s report has highlighted the key areas of risk that banks need to manage to stay resilient and maintain confidence – and counseled against complacency.