Is CIRO set to be the new Canadian Regulatory Hero?
CIRO is set to streamline the work of IIROC and the MFDA by harmonizing compliance rules and enhancing existing cybersecurity protocols.
The Conduct Chronicles – ‘Lessons from the Farage Bank Account Furore’
Emma Parry reviews the Farage bank closure as a signal for banks to ensure they have proper data retention tools in place, clear rationales and compliance with Consumer Duty obligations to ensure they are prepared for any regulator investigations and good consumer outcomes.
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?
MCOB: mortgages and home finance conduct of business
The UK mortgages and home finance industry has seen significant shifts since the pandemic, notably with interest rates rising and new AI developments for affordability decision-making.
FINRA Rule 3120
Have you ever gone about your daily work duties, head in focus-mode, and realized suddenly that something has gone wrong?
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?
FINRA Rule 2111
In the FINRA rulebook, rule 2111 stands out as one of the strongest examples of the regulator's ethos: the customer must come first.
UK DPA 2018
“A regulator’s job is never easy. There’s a balance to be struck between being a champion of innovation, of supporting new technology, and being a protector of people’s rights. While I believe the two can coexist, and aren’t in direct opposition, it sometimes requires careful consideration to balance the scales”, said John Edwards, the UK’s Information Commissioner in February 2024.
Regulatory Wrap Episode 50: Wrap of the Year – the Top Compliance Stories of 2024
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 #49: Global Relay’s 2024 Data Insights Report
In Regulatory Wrap for the week to December 6, Jennie Clarke examines the findings of Global Relay’s newly published 2024 Data Insights report.
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.