Blog
Compliance & Conversation: What does the data of 12,000 financial organization reveal about recordkeeping and surveillance trends?
On February 5, 2025, we were joined by a panel of compliance and surveillance experts to explore top compliance trends, answering questions including whether the FCA is complicating compliance, how AI is being used for surveillance, and if conduct and culture should be high on firm’s agendas.
A key lesson from JP Morgan’s $350 million fine: data completeness is critical – have you got eyes on all your comms?
JPMorgan's $350 million fine highlights the urgent need for firms to capture and monitor all communications, including GenAI, to stay compliant with FINRA and DOJ regulations.
IM impact: Are you accounting for emerging instant messaging channels?
Communications compliance persists as a regulatory focus area – but, amid a landscape of fast-emerging instant messaging applications, are firms treating IM platforms as a compliance priority?
Insights
Head to the cloud – 6 simple steps for migrating healthcare data to the cloud
Migrating healthcare data to the cloud comes with multiple benefits for businesses, from cost reduction to increased data availability. Streamline your data migration with these six simple steps.
Managing the compliance risks of ephemeral messaging to meet DOJ guidance in healthcare and pharmaceuticals
Healthcare organizations and the pharmaceutical industry must look to implement solutions to ephemeral messaging in their compliance strategies.
The Compliance Hub
Rules & Regulations
Financial institutions are required to meet a plethora of regulations and rules to ensure overarching compliance.
Glossary
Understanding the constantly evolving financial compliance space can be a challenge – especially with new terminology being introduced alongside every new rule and regulation.
Compliance Insights
Understanding the constantly evolving financial compliance space can be a challenge – especially with new terminology being introduced alongside every new rule and regulation.
Broker Dealer Collection
Compliance & Conversation: What does the data of 12,000 financial organization reveal about recordkeeping and surveillance trends?
On February 5, 2025, we were joined by a panel of compliance and surveillance experts to explore top compliance trends, answering questions including whether the FCA is complicating compliance, how AI is being used for surveillance, and if conduct and culture should be high on firm’s agendas.
Regulatory wrap episode 51: FINRA’s 2025 regulatory report: what firms need to know
In Regulatory Wrap for the week to January 31, we extract the need-to-know details from FINRA’s Annual Regulatory Oversight Report for 2025.