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.
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.
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%.
How can communications surveillance help pharma firms avoid fines?
Pharmaceutical companies urgently need robust communication surveillance to avoid data risks and reputational damage.
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.
Regulatory wrap episode 51: FINRA’s 2025 regulatory report: what firms need to know
In Regulatory Wrap for the week to January 31, we extract the need-to-know details from FINRA’s Annual Regulatory Oversight Report for 2025.
What is Regulatory Compliance?
Regulatory compliance is the process of following set procedures in order to meet standards set by boards of oversight. Most often, these regulatory policies are set to reduce the risk of negative events occurring, such as physical accidents or unauthorized access to information or money.
Regulatory Wrap Episode 50: 2024 Wrapped – the Top Compliance Stories
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.
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.