SEC doubles down on off-channel communications settlements
The SEC has denied a motion raised by 16 firms to modify or amend previously agreed settlements for off-channel communication violations that sought to “equalize” their ongoing compliance responsibilities with more recent enforcement cases.
Regulatory Wrap episode 56: FCA pivots on “name and shame”
In Regulatory Wrap for the week to March 21, Kathryn Fallah discusses the FCA’s decision to axe its controversial “name and shame” proposal.
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.
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.
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.
What does the data of 12,000 financial organizations reveal about industry trends?
On February 5, 2025, we were joined by a panel of compliance and surveillance experts to explore top compliance trends, answering questions including whether the FCA is complicating compliance, how AI is being used for surveillance, and if conduct and culture should be high on firm’s agendas.
FCA ‘name and shame’ proposals deemed “an abject failure” amid ongoing criticism
The Financial Conduct Authority continues to face criticism for its controversial proposals to ‘name and shame’ firms under investigation. With the regulator promising a “different relationship” with the industry, could this mark the end of the unpopular policy?
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.
FCA interviews ‘finfluencers’ under caution: Did social media just get serious?
The Financial Conduct Authority is interviewing 20 finfluencers under caution, shortly after setting trial dates for nine others for promoting unauthorized trading schemes. With criminal proceedings on the horizon, are firms taking social media risk seriously?
Is the FCA’s “Name and Shame” approach here to stay?
While the FCA’s suggested shift towards a more transparent enforcement approach received substantial pushback from the finance industry, recent speeches by senior figures have indicated that “name and shame” is here to stay.