“It’s on the chat” – Shift in Nordic regulatory tone as Danske Bank fined $4.4 million for market manipulation
Norway’s financial regulator, Finanstilsynet, has fined Danske Bank A/S 50 million NOK for market manipulation, with the investigation unearthing “illuminating” evidence of misconduct across a range of communications channels.
Hands off – FCA confirms it won’t issue WhatsApp rules to banks
The Financial Conduct Authority has ended years of industry speculation around a potential UK-based compliant communications crackdown by confirming it is “not planning any wholesale rules” around WhatsApp use by firms.
Is CIRO set to be the new Canadian Regulatory Hero?
CIRO is set to streamline the work of IIROC and the MFDA by harmonizing compliance rules and enhancing existing cybersecurity protocols.
The Conduct Chronicles – ‘Lessons from the Farage Bank Account Furore’
Emma Parry reviews the Farage bank closure as a signal for banks to ensure they have proper data retention tools in place, clear rationales and compliance with Consumer Duty obligations to ensure they are prepared for any regulator investigations and good consumer outcomes.
Firms call for return to office: How can compliance tools support hybrid work?
As businesses return to work for 2025, financial services firms have made headlines with new, more stringent ‘return to office’ (RTO) policies. Does RTO mark the end of a ‘working from home’ (WFH) model for financial services, or can compliance technology mitigate the risks of hybrid work?
New year, same SEC as 12 firms hit with $63 million in off-channel communications fines
The SEC has fined 12 firms a combined $63 million for recordkeeping failures relating to off-channel communications – but does this set the regulatory tone for the year to come?
Regulatory Wrap Episode 50: Wrap of the Year – the Top Compliance Stories of 2024
In Regulatory Wrap for the week to December 13, Jennie Clarke and Rob Mason recount the most notable developments over the course of 2024.
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.