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Compliance & Conversation: Preparing for DORA implementation
Ashurst Partner Bradley Rice addressed some of the key practical challenges of DORA at Global Relay’s gathering of compliance professionals.
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Compliance & Conversation: Why is the spotlight on surveillance?
Two leading practitioners shared their thoughts on the role and function of surveillance in changing times.
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Venue and data completeness in the spotlight at GR Bank and broker roundtable
Also discussed in this informative and collegial session was communication surveillance and the focus of recent supervisory visits.
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Compliance & Conversation: Making the most of SMCR
Seung Earm and Mark Taylor discussed the Senior Managers & Certification Regime at Global Relay’s gathering of compliance professionals.
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XLoD event in NYC: Managing risk, surveillance across the three lines of defense
Discussions of enterprise risk management, surveillance technology, and market abuse feature in the first of two reports.
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Tech Forum 2024: Ethical AI, technological evolution, and cybersecurity defence
Possibilities, risk, and ethics around new AI technology were discussed at the Swedish Chamber of Commerce Tech Forum.
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FINRA Annual 2024: Panelists share best practices on data analytics and Gen AI
Senior figures talked about how technology such as LLMs present great business opportunities … and risks.
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Regulatory collaboration and carbon credits the focus on Climate Change Day at City Week 2024
CFTC Commissioner Christy Goldsmith Romero and Sacha Sadan, FCA’s Director of ESG, discussed climate policy in front of an international audience in London.