At the FINRA Annual Conference this year, panelists highlighted trends such as those involving investor scams, Reg S-P, and e-communications.
eComms
FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
In its legal filing, Coinbase said it seeks the court's intervention "to ensure that all available measures are taken to preserve and produce responsive records.”
Enforcement
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SFO concedes Barclays Libor convictions may be "unsafe” following Tom Hayes ruling
Questions raised about fairness of process as six more individuals could have decisions re-examined.
The case highlights regulatory scrutiny of trader communications and individual accountability.
Enforcement
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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).
Panellists from RBC, Deutsche Bank, TP ICAP and Lloyds discussed the future of trade surveillance.
Enforcement
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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.