The Conduct Chronicles – Deepfakes. Who are you really dealing with?
Emma Parry explores the growing risk of deepfake fraud, highlighting real world cases that have led to the loss of millions of dollars through scams and manipulation.
What unified communications & collaboration leaders need to know about compliance
Understand emerging unified communications and collaboration (UC&C) compliance challenges and the regulatory and reputational risks of non-compliance with this data-led report from Metrigy.
SEC plants crypto recordkeeping seeds with Spring 2025 agenda
Securities and Exchange Commission Chairman Paul Atkins has set the regulator on a course toward crypto with its early ‘Spring 2025’ statement, including proposals to bring crypto under the scope of existing recordkeeping regulations.
Proactive cooperation reduces CFTC fines to $8 million
The CFTC’s recent “enforcement sprint” initiative saw 10 firms fined a combined amount of $8.3 million, with most receiving fine reductions for “exemplary cooperation” and remediation plans – demonstrating the benefits of self-reporting and collaboration with the regulator.
SEC fines Massachusetts firm $75,000 for Marketing Rule violation
The SEC has fined a firm $75,000 for violating the Marketing Rule and recordkeeping violations, spurring the firms to implement greater compliance protocols.
Regulatory Wrap episode 68: FCA WhatsApp breach survey
In Regulatory Wrap for the week to August 18, Jennie Clarke discusses recent FCA survey results, which found that firms are still grappling with off-channel comms violations.
Five ways a single-vendor solution can mitigate data governance risks
Learn how a single-vendor solution can capture, store, and monitor business communications to enable complete compliance, all while protecting your data.
The Department of Justice’s Corporate Enforcement Policy
Learn more about the Department of Justice's updates to its Corporate Enforcement Policy in our latest whitepaper, and how AI-enabled communications surveillance can allow your firm to stay ahead of regulatory enforcement by detecting and flagging misconduct quickly and efficiently.
The Conduct Chronicles – SEC Renegotiation? Not a chance!
Regulators are reviewing and revising regulations by creating a less intense process for financial services looking to comply with the rules, and while the SEC has refused revisiting past settlements, FINRA seems to be on the case.
Regulatory Wrap episode 67: The $80K cover-up FINRA didn’t miss
In Regulatory Wrap for the week to August 1, Jay Hampshire reviews a FINRA fine against a firm rep for concealing misconduct using off-channel communications.
FCA Survey finds 178 WhatsApp policy breaches, with over 41% from senior staff
A survey of 11 wholesale banks found that 178 breaches of communications compliance policies were reported, despite firms introducing compliance recording and monitoring solutions, and the majority came from senior employees.