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.
Setting the standard – SEC proposes new joint data standards
The SEC, alongside eight other agencies, has proposed establishing new joint data standards under the Financial Data Transparency Act to make data more accessible, uniform, and to help regulators be more effective and efficient.
Heads or t-AI-ls: FCA speech sets out ‘coin toss’ view on AI adoption
A recent speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, has laid out FCA’s views on AI, its potential, and how we might already have the frameworks to regulate its use.
Working as Advertised – SEC Marketing Rule enforcements hit nine firms with $850,000 in fines
The SEC has charged nine RIAs with breaching its Marketing Rule by advertising ‘hypothetical performance’ to the general public. With fines totalling $850,000 the regulator is making it clear that the answer to ‘are we compliant?’ should never be a hypothetical.
Compliance Podcast Series: Episode 5 – Stay Ahead of Regulations
In the final episode of the series, Raewyn Danvers, Global Relay Sales Manager, Unified Communications, shares her insights into how industry professionals can get ahead (and stay ahead) of regulatory compliance technology trends.
Compliance Podcast Series: Episode 4 -Global Relay Industry Insights Report
In part four of this five-part series, Jennie Clarke, Global Relay Head of Content, shares a preview of the findings and trends from our Compliant Communications 2023 industry insights report.
Compliance Podcast Series: Episode 3 – Regulatory Changes on the Horizon for UK Firms
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Car Crash or New Superhighway? – AI, Audits, Accountability, and the FCA
A recent speech from the Chief Executive of the FCA has outlined their direction of travel on Big Tech and AI regulation. But with the FCA itself being audited on its effectiveness as a ‘digital regulator’, what does this mean for organizations and accountability?
Compliance Podcast Series: Episode 2 – Is Business Innovation Being Stifled by Regulatory Action?
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.
Compliance Podcast Series: Episode 1 – The Future is Now: U.S. Regulatory Compliance
In our five-part podcast post series with the Compliance Podcast Network, we explore messaging compliance in a shifting regulatory landscape.