A key lesson from JP Morgan’s $350 million fine: data completeness is critical – have you got eyes on all your comms?
JPMorgan's $350 million fine highlights the urgent need for firms to capture and monitor all communications, including GenAI, to stay compliant with FINRA and DOJ regulations.
Culture is contagious: Is surveillance your first defense?
The FCA has doubled-down on its focus on conduct and culture, noting that it will be taking direct action against firms that do not have controls to detect misconduct.
Surveillance, Gen AI, and third-party risk: Key takeaways from FINRA’s Annual Oversight Report for 2025
FINRA has published its Annual Oversight Report for 2025, giving firms a 'heads up' of the regulator's key focus areas for the year, including AI, recordkeeping, and third-party and social media risks.
Trade Reporting and Compliance Engine (TRACE)
All broker-dealers under FINRA regulations are required to report eligible transactions through the Trade Reporting and Compliance Engine (TRACE).
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.
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.
What is FINRA Rule 8210: Information and testimony requests
Between 2020 and 2022, more brokers and associated persons were barred from the securities market due to FINRA Rule 8210 violations than any other Rule. So how can broker-dealers navigate a FINRA 8210 request?
Nowhere to hide – FCA reviews state of crypto promotions
The FCA has published a review of whether cryptocurrency firms are meeting its latest rules around marketing and promotions - with many falling short of the required compliance standard.
Bad finfluence – Is influencer marketing worth the risks?
With the FCA having announced court dates for a case against nine social media influencers involved in non-compliant financial promotions, do the benefits outweigh the risks for ‘finfluencer’ marketing?
Regulatory Wrap Episode 34: FINRA Reacts to an Emerging Culture of Off-Channel Comms
In Regulatory Wrap for the week to June 28, Jennie Clarke covers FINRA’s set of fines for off-channel communications activities, underlining the consequences of improper recordkeeping and supervision.
Personal phones, personal gains: further fines for non-compliant communication
After two years of sustained enforcement action for firms that failed to ensure compliant communication, June shows that the focus on non-compliant communication and recordkeeping failures lives on – for regulators and financial institutions alike.