Four key steps to mitigate social media risk
How can firms address the compliance risks that come along with social media's integration into business operations?
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.
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.
Global Relay Announces Next Gen AI-Enabled Communications Surveillance
London, November 13, 2024: Global Relay, a leading provider of integrated digital communications and recordkeeping, announces its AI-enabled surveillance solution to support the increased need for communications surveillance to meet evolving regulatory requirements.
How can a lack of generative AI investment pose compliance risks?
As generative AI continues to become integrated into business practices, firms need to invest in secure solutions that mitigate the risks that comes along with the use of unapproved applications.
What does the CrowdStrike outage teach us about operational resilience?
The historic IT outage that affected 8.5 million Microsoft Windows devices is a cautionary tale about the need for stringent operational resilience testing and planning, especially as regulatory expectations continue to rise.
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.
On Demand: Is Voice Surveillance the Final Piece in the Compliant Comms Puzzle?
Watch on-demand as compliance and surveillance experts discuss growing regulatory expectations around voice channel capture - and how firms can leverage technology to keep pace.
The Conduct Chronicles – “The real-world impact of Market Manipulation”
Emma Parry discusses how regulators are increasing enforcement and urging firms to improve oversight, as seen in cases such as the 'Whatsapp' fines and JP Morgan's market manipulation, underscoring the broader impact of market abuse on consumers.
FCA publishes first non-financial misconduct survey results
The results of the FCA’s first survey into instances of non-financial misconduct across the finance sector show that recorded instances of NFM have increased by more than two-thirds in three years