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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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Australian regulator calls for tighter supervision of off-channel comms
ASIC joins the ranks of regulators urging market intermediaries to strengthen supervision of representatives’ comms.
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As Wells Fargo fires employees for mouse movers, let’s talk about surveillance
A recent FINRA filing indicates that the bank recently terminated some employees for simulating mouse movements at their PCs.
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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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PE firms disclose settlement discussions for off-channel comms lapses
Three of Wall Street’s biggest PE firms are negotiating settlements with the SEC over their employees’ use of banned communication channels.
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Concerns over complete venue coverage and FCA ‘name and shame’ approach at compliance roundtable
Risk acceptance and supervisory visits also discussed at Global Relay’s quarterly roundtable in London.
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FINRA fines Dawson James for not retaining business-related texts
FINRA says Dawson James Securities failed to retain 10,000+ business-related texts, including client conversations, for over 10 years.
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SEC charges Senvest Management with off-channel comms recordkeeping lapses
The invest adviser agreed to pay a $6.5m penalty and improve its compliance policies and procedures.