Regulator’s action may consider rethink on outsourcing as senior manager accountability moves centre stage.
Regulatory intelligence experts Alex Viall and Rob Mason discuss the fallout from an extraordinary fortnight.
Global regulators are settling on a joined-up approach to operational resilience for outsourced services and critical third parties across all major territories.
Consumer Duty, Big Bang 2.0 and ChatGPT among the subjects discussed at the latest roundtable event.
Kenneth A Polite Jr signals a new approach from the DOJ on personal communication compliance.
Implementing the biggest change in 60 years is proving a substantial challenge for advisers.
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. What do they mean, and how can firms prepare?
Operational resilience was the focal point, but there are other issues to consider.