SEC speech outlines that communications compliance enforcements aren’t going anywhere
A speech from Sanjay Wadhwa, acting director of the SEC’s division of enforcement, has spelled out that the regulator will continue to focus on off-channel communications and the importance of cooperation.
Has the FCA abandoned ‘Name and Shame’?
Recent responses by senior figures at the Financial Conduct Authority during a U.K. government committee hearing have outlined that the regulator will “fundamentally reshape” the controversial proposals.
Is voice surveillance the missing piece for compliant communications?
Unlock expert insights from our recent webinar exploring regulatory trends and industry voice surveillance practices, and find out whether voice surveillance is the missing piece in the compliant communication puzzle.
On Demand: Is Voice Surveillance the Final Piece in the Compliant Comms Puzzle?
Watch on-demand as compliance and surveillance experts discuss growing regulatory expectations around voice channel capture - and how firms can leverage technology to keep pace.
FCA publishes first non-financial misconduct survey results
The results of the FCA’s first survey into instances of non-financial misconduct across the finance sector show that recorded instances of NFM have increased by more than two-thirds in three years
Is the FCA’s “Name and Shame” approach here to stay?
While the FCA’s suggested shift towards a more transparent enforcement approach received substantial pushback from the finance industry, recent speeches by senior figures have indicated that “name and shame” is here to stay.
$118 million in SEC and CFTC fines continues off-channel comms crackdown
The pace of regulatory enforcement action for recordkeeping failures continues to increase, as both the SEC and CFTC issue more fines for off-channel communications breaches. But two cases reinforce the benefits of self-reporting and cooperation.
Social Media: To Ban or Not to Ban?
Surveillance and compliance experts Hammad Hanif, Lloyds Banking Group, and Darren Sirr, BNY Mellon Markets, shared their insight as part of our recent social media webinar, chaired by Rob Mason, Global Relay Director of Regulatory Intelligence.
By the dozen – SEC fines 12 municipal advisors $1.3 million for off-channel communications
The Securities and Exchange Commission has continued its ongoing crusade against off-channel communications with a spate of recordkeeping fines against 12 municipal advisors.
5 Tips to enhance voice surveillance
With regulatory expectations around voice channels increasing, firms need to ensure that they’re not only capturing relevant voice channels, but using voice data to enhance their surveillance and compliance.
Nine firms fined $1.24 million for not playing by SEC’s Marketing Rule
With a $1.24 million penalty representing the largest fine so far as part of the SEC’s ongoing Marketing Rule crackdown, are firms doing enough to ensure their marketing communications are compliant?