Regulatory Wrap episode 73: Comms compliance gets personal
In Regulatory Wrap for the week to October 24, Jay Hampshire covers FINRA’s $10,000 fine against an individual for off-channel breaches.
Over a decade of partnership enables Baird to centralize and scale compliance
Learn how Global Relay helped Baird move from a patchwork of legacy solutions to a unified view of communications compliance.
How can firms maintain SEC Marketing Rule compliance?
Despite a slowdown in regulatory enforcement actions, ongoing Marketing Rule fines have signaled that compliant marketing messaging remains a priority for SEC. Explore how firms can reinforce compliance posture and implement the right tools to follow the marketing rules.
FINRA fines broker $10,000 for off-channel communications breaches
An ex-Wells Fargo broker has been fined and suspended by FINRA for breaching recordkeeping rules, and attempting to cover up misconduct by deleting messages.
Regulatory Wrap episode 72: FCA’s call to action on financial crime
In Regulatory Wrap for the week to October 10, Jay Hampshire summarizes the FCA’s recent speech encouraging collaboration to fight financial crime.
CPPA issues record $1.35 million fine for data privacy failures
The California Privacy Protection Agency has issued the largest fine in its history, levied against Tractor Supply Company for multiple violations of the California Consumer Privacy Act.
FCA answers Call of Consumer Duty
The Financial Conduct Authority is updating its Consumer Duty approach to balance consumer protection with reducing compliance burdens on firms. It aims to clarify expectations, support innovation, and ensure fair outcomes.
What is data completeness? And why does it matter?
Regulatory expectations around the data firms capture and archive are increasing. It is no longer enough to be able to evidence that you’re capturing communications data – the expectation is that data is captured and archived in its entirety. We explore the new standard of data completeness, and why meeting it matters.
How much can weak cybersecurity structures cost firms?
With cybercriminals ramping up the frequency and complexity of attacks against financial organizations, it’s evident that a lacking security infrastructure can take a significant toll on not just revenue and business operations – but reputation.
Regulatory Wrap Episode 71: FDA takes aim at pharma companies’ social media activity
In Regulatory Wrap for the week to October 3, Ryan Thaxton explores the growing spotlight on pharma companies’ social media activity.
FCA crypto consultation proposes firms play by conduct and resilience rules
The Financial Conduct Authority is consulting on which minimum rules should apply to cryptoasset firms, particularly regulations governing operational resilience, governance, and the conduct of senior staff.