Stored Communications Act
Where is the line? That’s what enforcement agencies and the US government have to consider each time they make a request to access an individual's private electronic communication when building evidence in a case.
Financial promotions on social media
In March 2024, the Financial Conduct Authority updated their rules around financial promotions in social media in accordance with the new Consumer Duty requirements. This update clarified how regulated financial institutions needed to manage all authorized promotions across social media, and set up controls for any of the ‘finfluencers’ they work with.
Fairness Opinions
How do you know when you’re receiving good value? In the supermarket, you might be comparing prices per 100g or unit. But in the world of mergers and acquisitions, with many uncertain variables in play, it’s sometimes harder to determine.
What is Regulatory Compliance?
Regulatory compliance is the process of following set procedures in order to meet standards set by boards of oversight. Most often, these regulatory policies are set to reduce the risk of negative events occurring, such as physical accidents or unauthorized access to information or money.
Culture is contagious: Is surveillance your first defense?
The FCA has doubled-down on its focus on conduct and culture, noting that it will be taking direct action against firms that do not have controls to detect misconduct.
Surveillance, Gen AI, and third-party risk: Key takeaways from FINRA’s Annual Oversight Report for 2025
FINRA has published its Annual Oversight Report for 2025, giving firms a 'heads up' of the regulator's key focus areas for the year, including AI, recordkeeping, and third-party and social media risks.
Trade Reporting and Compliance Engine (TRACE)
All broker-dealers under FINRA regulations are required to report eligible transactions through the Trade Reporting and Compliance Engine (TRACE).
Firms call for return to office: How can compliance tools support hybrid work?
As businesses return to work for 2025, financial services firms have made headlines with new, more stringent ‘return to office’ (RTO) policies. Does RTO mark the end of a ‘working from home’ (WFH) model for financial services, or can compliance technology mitigate the risks of hybrid work?
FCA Handbook
Every year, financial advisers require a Statement of Professional Standing to ensure they meet the minimum standards of working. As part of this certification, advisers must keep up with industry updates, and meet ethical behavior standards.
MCOB: mortgages and home finance conduct of business
The UK mortgages and home finance industry has seen significant shifts since the pandemic, notably with interest rates rising and new AI developments for affordability decision-making.
FINRA Rule 3120
Have you ever gone about your daily work duties, head in focus-mode, and realized suddenly that something has gone wrong?