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Latest News
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UK Supreme Court quashes conviction of Tom Hayes in landmark Libor case
The case highlights regulatory scrutiny of trader communications and individual accountability.
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Industry digests big fines for four banks over exchanges of sensitive information on gilts
Citi, HSBC, Morgan Stanley and Royal Bank of Canada agree to settle cases and will pay over £100m ($126.2m).
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XLOD London 2024: Trade surveillance in the spotlight
Panellists from RBC, Deutsche Bank, TP ICAP and Lloyds discussed the future of trade surveillance.
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Proponent of a proactive culture of compliance, Director Grewal embarks on post-SEC career
He joined the SEC in 2021 and has overseen cases ranging from Regulation Best Interest to greenwashing charges.
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SEC, CFTC ding 12 firms for recordkeeping violations – dissenting voices get louder
The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.
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Atom Investors dinged for ecomms recordkeeping lapses, but no fine imposed
The firm received no penalty because of its proactive approach, swift remediation and substantial cooperation efforts with the SEC’s investigation of a third party.
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INTERVIEW: Donald McElligott on a better understanding of communications archiving tech
Julie DiMauro in conversation with compliance supervision expert Donald McElligott on regtech solutions in the communications recordkeeping space.
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Disney’s internal comms leaked as hacking group targets media giant over artist rights
Disney is investigating a data breach after hacktivists took credit for stealing personal and corporate data from an internal Slack channel.