LLM MythBusters – How does AI training for comms surveillance work?
Due to its novelty in communications surveillance, there are certain misconceptions about how AI is enabled and trained to identify risk. We’ve broken down five of the most common myths to uncover how LLMs operate within compliance processes.
Regulatory Wrap episode 56: FCA pivots on “name and shame”
In Regulatory Wrap for the week to March 21, Kathryn Fallah discusses the FCA’s decision to axe its controversial “name and shame” proposal.
Regulatory Wrap episode 55: Catching the culture bug
In Regulatory Wrap for the week to March 14, Rob Mason reviews an FCA speech on culture's ability to spread within an organization.
FCA bans Crispin Odey as non-financial misconduct focus grows
With the FCA taking action against Crispin Odey, a controversial hedge fund manager who has been the subject of serious misconduct allegations, it seems the regulator is keeping its word on prioritizing non-financial misconduct.
Buying a compliance solution? 4 things to consider before you commit
Choosing a compliance technology vendor can be complex. Global Relay has highlighted four key considerations to bear in mind before you sign.
Culture clash – How can firms ensure they’re addressing non-financial misconduct risk?
Rob Mason, Director, Regulatory Intelligence explores the FCA’s recent prioritization of non-financial misconduct and its impacts on culture, and the steps firms can take to address conduct risks.
Regulatory Wrap episode 54: What’s going on with the FCA?
In Regulatory Wrap for the week to March 7, Rob Mason discusses why the FCA has been the subject of scrutiny since the beginning of 2025.
Game over – Controversial “name and shame” proposals axed by FCA
The U.K. financial regulator has confirmed that it won’t move forward with a policy planned to name firms under investigation following substantial criticism from industry and government figures.
Regulatory Wrap episode 53: The CFTC’s new self-reporting matrix
In Regulatory Wrap for the week to February 28, Kathryn Fallah breaks down the CFTC’s new self-reporting matrix, which includes potential penalty reductions of up to 55%.
What does the SEC’s new stance on crypto mean for regulation?
With the announcement of a new SEC crypto task force and suspension of legal proceedings against several crypto exchanges, are we witnessing the end of the “regulation by enforcement” era, or will there be more calls for crypto clarity?
Regulatory wrap episode 52: CIRO’s 2025 compliance priorities
In Regulatory Wrap for the week to February 7, Kathryn Fallah discusses the newly-established Canadian Investment Regulatory Organization (CIRO) and its 2025 Annual Compliance Report.