With a changing of the regulatory guard, what are the implications for U.S. off-channel communications?
Susannah Hammond explores what recent changes at the SEC might mean for U.S off-channel communications and recordkeeping enforcements.
Regulators give firms a thumb’s down for not capturing emojis
Regulators are increasingly scrutinizing the use of emojis and avatars in communications within financial services, due to their potential for ambiguity and misuse. There is a growing need for enhanced monitoring to circumvent any risks and to capture misconduct.
The Conduct Chronicles – Conduct and Culture: Insights from the US Record Keeping fines
Culture is determined by more than just 'tone from the top', it requires ongoing effort and investment. Firms should also look to celebrate good behavior, and ensure incidents of bad behavior are being escalated.
What does the SEC’s new stance on crypto mean for regulation?
With the announcement of a new SEC crypto task force and suspension of legal proceedings against several crypto exchanges, are we witnessing the end of the “regulation by enforcement” era, or will there be more calls for crypto clarity?
Firms call for return to office: How can compliance tools support hybrid work?
As businesses return to work for 2025, financial services firms have made headlines with new, more stringent ‘return to office’ (RTO) policies. Does RTO mark the end of a ‘working from home’ (WFH) model for financial services, or can compliance technology mitigate the risks of hybrid work?
New year, same SEC as 12 firms hit with $63 million in off-channel communications fines
The SEC has fined 12 firms a combined $63 million for recordkeeping failures relating to off-channel communications – but does this set the regulatory tone for the year to come?
Regulatory Wrap Episode 50: 2024 Wrapped – the Top Compliance Stories
In Regulatory Wrap for the week to December 13, Jennie Clarke and Rob Mason recount the most notable developments over the course of 2024.
Regulatory Wrap Episode #48: SEC’s record fines & FCA’s AI insights
In Regulatory Wrap for the week to November 29, Rob Mason recounts attention-grabbing figures highlighted in recent regulatory releases from the SEC and FCA.
Computer Security Day: The role of leadership in protecting data
This Computer Security Day, it is important to recognize that strong leadership drives effective cybersecurity and ensures regulatory compliance.
Record year for SEC enforcement sees $8.2 billion in fines through 2024
The SEC has released its annual enforcement results for 2024, giving insight into the number of enforcement actions, totals fines imposed, and a comparison of the regulator’s achievements year-on-year.
SEC speech outlines that communications compliance enforcements aren’t going anywhere
A speech from Sanjay Wadhwa, acting director of the SEC’s division of enforcement, has spelled out that the regulator will continue to focus on off-channel communications and the importance of cooperation.