Regulatory Wrap Episode #49: Global Relay’s 2024 Data Insights Report
In Regulatory Wrap for the week to December 6, Jennie Clarke examines the findings of Global Relay’s newly published 2024 Data Insights report.
Regulatory Wrap Episode #48: SEC’s record fines & FCA’s AI insights
In Regulatory Wrap for the week to November 29, Rob Mason recounts attention-grabbing figures highlighted in recent regulatory releases from the SEC and FCA.
On Demand: Is conduct and culture the next regulatory priority?
Watch on demand as our expert panel discuss the increasing significance that regulators are placing on a cultivated “culture of compliance" in the U.S.
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.
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.
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.
On Demand: Is Voice Surveillance the Final Piece in the Compliant Comms Puzzle?
Watch on-demand as compliance and surveillance experts discuss growing regulatory expectations around voice channel capture - and how firms can leverage technology to keep pace.
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.