FCA leaves non-financial misconduct nowhere to hide with broader rules
The U.K. regulator has clarified its expectations on bullying and harassment and will extend rules on non-financial misconduct reporting to 37,000 non-bank firms by September 2026.
The Conduct Chronicles – Does the CFTC practice what it preaches?
Emma Parry examines the CFTC's performance, revealing concerns about its conduct in legal proceedings and internal operational failings, highlighting the urgent need for reform and accountability.
Third party, outsourced arrangements and the need for a consolidated approach to compliance
Firms must do their due diligence and ensure activities both in-house and outsourced are being monitored to ensure they are compliant.
Another one bites the dust as Coinbase Global suffers major data breach
Coinbase Global is the latest case in an onslaught of data breaches this year. As cyberthreats grow more complex, firms must look to prioritize data security to ensure their systems are impenetrable, and any risk is flagged immediately.
Is recordkeeping the key to managing personal regulatory risk?
Firms need strong recordkeeping to manage personal regulatory risk and meet growing accountability demands. Clear documentation helps prove compliance and shields managers from liability.
Global Relay’s AI-enabled approach to surveillance
Levelling up from lexicon-based system, Global Relay Surveillance uses GenAI and LLMs to deliver accurate risk analysis.
Surveillance Snippets: Is evolving technology the answer to all surveillance questions?
The only way for firms to keep pace with industry modernization is to invest in technologies that are equipped to adapt to evolving compliance and surveillance needs.
Surveillance Snippets: Surveil now to save later – why should firms invest anyway?
By establishing a well-nourished surveillance system early on, firms can reap invaluable benefits later, such as avoiding steep regulatory fines and boosting operational efficiencies.
Social media as a risk for financial services
Financial services face four key challenges with the emergence of social media channels use for business communications, Global Relay's Director of Regulatory Intelligence, Rob Mason, and Head of Content, Jennifer Clarke note these as: market risk, advertising risk, recordkeeping risk, and consumer harm.
Surveillance Snippets: Mind the data capture gap with surveillance strategies
When considering surveillance, it all comes down to data – and missing or incomplete datasets could pose a dire issue. How can firms reevaluate their surveillance governance and data management to maintain compliance with U.S. regulators?
Surveillance Snippets: Striking the balance between communications surveillance and privacy
In persisting enforcements for recordkeeping failures, regulators stress the need to “reasonably supervise personnel” to detect and prevent possible violations. But how can firms ensure effective supervision when questions of privacy rights arise?