Why Apple® Messages should be on your communications capture list
As one of the main platforms used for texting, firms should assess their capture needs for Apple® Messages to keep in line with recordkeeping requirements.
Computer Security Day: The role of leadership in protecting data
This Computer Security Day, it is important to recognize that strong leadership drives effective cybersecurity and ensures regulatory compliance.
The Conduct Chronicles – “I Spy with my Little AI”
Emma Parry analyzes how firms are increasingly looking to monitor social media channels and their use, and are utilising AI and to do so.
Record year for SEC enforcement sees $8.2 billion in fines through 2024
The SEC has released its annual enforcement results for 2024, giving insight into the number of enforcement actions, totals fines imposed, and a comparison of the regulator’s achievements year-on-year.
FCA report shows 75% of firms are now using AI, but only 34% know how it works
The FCA has published its Artificial Intelligence and Machine Learning Survey for 2024, revealing that 75% of financial services firms are now using AI. Is accuracy now more important than explainability for compliance?
Four key steps to mitigate social media risk
How can firms address the compliance risks that come along with social media's integration into business operations?
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.
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.
What does the CrowdStrike outage teach us about operational resilience?
The historic IT outage that affected 8.5 million Microsoft Windows devices is a cautionary tale about the need for stringent operational resilience testing and planning, especially as regulatory expectations continue to rise.
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.