Regulatory wrap episode 51: FINRA’s 2025 regulatory report: what firms need to know
In Regulatory Wrap for the week to January 31, we extract the need-to-know details from FINRA’s Annual Regulatory Oversight Report for 2025.
On Demand: Compliance & Conversation – Culture shock: A fireside chat on cultural compliance challenges
Watch on-demand and learn how effective supervision and facilitating an open dialogue with staff is key to ensuring a compliant culture.
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.
On Demand: Is conduct and culture the next regulatory priority?
Watch on demand as our expert panel discuss the increasing significance that regulators are placing on a cultivated “culture of compliance" in the U.S.
Regulatory Wrap Episode #47: Learning from the CrowdStrike Outage
In Regulatory Wrap for the week to November 8, Jennie Clarke explores regulatory stances on operational resilience, especially in light of the CrowdStrike incident in July.
Regulatory Wrap Episode #46: The FCA’s First Survey on Non-Financial Misconduct
In Regulatory Wrap for the week to October 25, Jennie Clarke discusses regulatory views on finfluencers and their role in financial promotion.
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.
Regulatory Wrap Episode #45: FCA Cracks Down on Illegal Financial Promotions
In Regulatory Wrap for the week to October 25, Jennie Clarke discusses regulatory views on finfluencers and their role in financial promotion.
Regulatory Wrap Episode #44: TD Bank Hit with $3 Billion Fine
In Regulatory Wrap for the week to October 18, Rob Mason discusses a record $3 billion fine against TD Bank for serious anti-money laundering (AML) failures.