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.
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.
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.