With a changing of the regulatory guard, what are the implications for U.S. off-channel communications?
Susannah Hammond explores what recent changes at the SEC might mean for U.S off-channel communications and recordkeeping enforcements.
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.
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.
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.
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?
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.
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.
Has the FCA abandoned ‘Name and Shame’?
Recent responses by senior figures at the Financial Conduct Authority during a U.K. government committee hearing have outlined that the regulator will “fundamentally reshape” the controversial proposals.
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.