FINRA Rule 2111
In the FINRA rulebook, rule 2111 stands out as one of the strongest examples of the regulator's ethos: the customer must come first.
UK DPA 2018
“A regulator’s job is never easy. There’s a balance to be struck between being a champion of innovation, of supporting new technology, and being a protector of people’s rights. While I believe the two can coexist, and aren’t in direct opposition, it sometimes requires careful consideration to balance the scales”, said John Edwards, the UK’s Information Commissioner in February 2024.
Regulatory Wrap Episode 50: Wrap of the Year – the Top Compliance Stories of 2024
In Regulatory Wrap for the week to December 13, Jennie Clarke and Rob Mason recount the most notable developments over the course of 2024.
Regulatory Wrap Episode #49: Global Relay’s 2024 Data Insights Report
In Regulatory Wrap for the week to December 6, Jennie Clarke examines the findings of Global Relay’s newly published 2024 Data Insights report.
Regulatory Wrap Episode #48: SEC’s record fines & FCA’s AI insights
In Regulatory Wrap for the week to November 29, Rob Mason recounts attention-grabbing figures highlighted in recent regulatory releases from the SEC and FCA.
On Demand: Is conduct and culture the next regulatory priority?
Watch on demand as our expert panel discuss the increasing significance that regulators are placing on a cultivated “culture of compliance" in the U.S.
Why Apple® Messages should be on your communications capture list
As one of the main platforms used for texting, firms should assess their capture needs for Apple® Messages to keep in line with recordkeeping requirements.
Consumer Credit Directive: Navigating the new regulatory framework
Recently revised in 2023, the Consumer Credit Directive (CCD) now addresses contemporary challenges in the consumer credit sector, including digitalization and new financial products. But what are the compliance implications of the CCD 2023 Revision?
Computer Security Day: The role of leadership in protecting data
This Computer Security Day, it is important to recognize that strong leadership drives effective cybersecurity and ensures regulatory compliance.
The Conduct Chronicles – “I Spy with my Little AI”
Emma Parry analyzes how firms are increasingly looking to monitor social media channels and their use, and are utilising AI and to do so.
Record year for SEC enforcement sees $8.2 billion in fines through 2024
The SEC has released its annual enforcement results for 2024, giving insight into the number of enforcement actions, totals fines imposed, and a comparison of the regulator’s achievements year-on-year.