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Podcast: Emily Wright on trade surveillance, ethics and conduct
We spoke to the author of Behind the Screens: Understanding Employee Surveillance in Financial Services.
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New regulation will reinforce market abuse surveillance in the energy market
A new law aims to protect against market abuse manipulation and reinforce market surveillance. We asked experts in the energy market for their views.
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Dubai’s regulator fines brokerage $1.37m for inadequate compliance resources
Another case of prolific incomplete electronic communications recordkeeping and monitoring failures.
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Global Relay compliance roundtable addresses outdated lexicons
Lawyers gathered for our latest roundtable discussion on the major pain points for firms and compliance professionals.
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Surveillance leaders apply more resource in leveraging data, tools and people
At a recent monitoring conference, hosted by XLOD, a number of global surveillance leaders gave their views on the oversight of eComms.
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Growing focus on voice as compliance surveillance leaders tackle comms channel proliferation
Firms need to up their game to meet regulator expectations.
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Compliance always needs a human touch
We sat down with William R Rowe III, Global Head of eComms Compliance at Cantor Fitzgerald, to talk about how the job is changing.