Regulations

Getting priorities straight – Key takeaways from the SEC’s 2025 Examination Priorities

The SEC’s 2025 Examination Priorities continue trends seen throughout 2024. However, in line with developing interest areas, there is an increased weight placed on topics like AI and operational resilience.

Is voice surveillance the missing piece for compliant communications?

Unlock expert insights from our recent webinar exploring regulatory trends and industry voice surveillance practices, and find out whether voice surveillance is the missing piece in the compliant communication puzzle.

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.

TD Bank earns itself $3 billion fine for ‘placing profit over compliance’

A $3 billion dollar fine has been imposed upon TD Bank for anti-money laundering failings and violating the Bank Secrecy Act.

CFTC audio comms recordkeeping fine sounds the bell on voice capture

A CFTC fine against a firm for recordkeeping lapses related to audio messages across multiple platforms raises flags about both voice communications capture and data governance.

$118 million in SEC and CFTC fines continues off-channel comms crackdown

The pace of regulatory enforcement action for recordkeeping failures continues to increase, as both the SEC and CFTC issue more fines for off-channel communications breaches. But two cases reinforce the benefits of self-reporting and cooperation.

Social Media: To Ban or Not to Ban?

Surveillance and compliance experts Hammad Hanif, Lloyds Banking Group, and Darren Sirr, BNY Mellon Markets, shared their insight as part of our recent social media webinar, chaired by Rob Mason, Global Relay Director of Regulatory Intelligence.

Watch out for WhatsApp: Does the FCA plan to follow in the footsteps of U.S. regulators?

There has been no shortage of fines for recordkeeping failures in the U.S., particularly from regulators like the SEC and CFTC – though movement from the U.K.’s primary financial regulator seems to point toward a future concentration on the topic.

By the dozen – SEC fines 12 municipal advisors $1.3 million for off-channel communications

The Securities and Exchange Commission has continued its ongoing crusade against off-channel communications with a spate of recordkeeping fines against 12 municipal advisors.

How does voice surveillance differ from other forms of communications surveillance?

As regulators encourage firms to effectively supervise business communications to deter misconduct and maintain compliance, what are the main differences to watch for when monitoring voice communications versus other written digital communications?

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