U.S. regulatory enforcements against non-compliant electronic communications
Obtain an overview of the direction U.S. regulators have taken in approaching non-compliant communications, highlighting notable enforcement actions for channels like text, instant messaging, and social media.
How can a lack of generative AI investment pose compliance risks?
As generative AI continues to become integrated into business practices, firms need to invest in secure solutions that mitigate the risks that comes along with the use of unapproved applications.
Regulatory Wrap Episode #47: Learning from the CrowdStrike Outage
In Regulatory Wrap for the week to November 8, Jennie Clarke explores regulatory stances on operational resilience, especially in light of the CrowdStrike incident in July.
Getting priorities straight – Key takeaways from the SEC’s 2025 Examination Priorities
The SEC’s 2025 Examination Priorities continue trends seen throughout 2024. However, in line with developing interest areas, there is an increased weight placed on topics like AI and operational resilience.
Regulatory Wrap Episode #46: The FCA’s First Survey on Non-Financial Misconduct
In Regulatory Wrap for the week to October 25, Jennie Clarke discusses regulatory views on finfluencers and their role in financial promotion.
Conduct and culture: A growing focus for U.S. regulators?
Discover how the focus on conduct and culture has developed over the last several years in U.S. financial regulation.
Regulatory Wrap Episode #45: FCA Cracks Down on Illegal Financial Promotions
In Regulatory Wrap for the week to October 25, Jennie Clarke discusses regulatory views on finfluencers and their role in financial promotion.
Regulatory Wrap Episode #44: TD Bank Hit with $3 Billion Fine
In Regulatory Wrap for the week to October 18, Rob Mason discusses a record $3 billion fine against TD Bank for serious anti-money laundering (AML) failures.
Regulatory Wrap Episode 43: The FCA’s “Kaizen” Approach
In Regulatory Wrap for the week to October 11, Jay Hampshire reflects on the FCA’s approach to enforcement as detailed in a recent speech.
CFTC audio comms recordkeeping fine sounds the bell on voice capture
A CFTC fine against a firm for recordkeeping lapses related to audio messages across multiple platforms raises flags about both voice communications capture and data governance.
Regulatory Wrap Episode 42: The FCA’s WhatsApp Crackdown
In Regulatory Wrap for the week to September 27, Jay Hampshire considers the FCA’s future objectives after recent action concerning off-channel communications.