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Clearing firm fined for surveillance lapses related to potentially manipulative trading
FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
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Negotiating the era of digital accountability
Why communication archiving, insider trading regulations and audit tech are effective guardrails for global financial markets amid times of volatility.
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Podcast: EY’s Jennifer Joyce on aligning stakeholders and building adaptive compliance programs
GRIP’s US Content Manager Julie DiMauro spoke with Jennifer Joyce, Principal of Forensic and Integrity Services at EY.
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FINRA seeks public comment on the operations of modern workplaces
FINRA identified the modern workplace as an initial area of focus for its latest review, asking for specific comments from member firms.
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16 firms rebuffed by SEC in bid to revisit off-channel comms settlements
SEC says ‘no-can-do to’ the 16 financial firms that submitted a motion to have their recordkeeping settlements modified.
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Celito Tech’s Ravi Monangi and Ethan Grammer on compliant growth in life science
We explored how small and mid-sized pharmaceutical and biotech companies can avoid costly early compliance mistakes and minimize risk as they scale.
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FCA ditches plans to introduce WhatsApp ban for City bankers
The regulator had previously indicated it might stop City staff from using encrypted communication apps.
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OPINION: The perennial issue of collective blind spots and how to avoid them
Collective blind spots on LIBOR and off-channel communications have been pervasive, says Susannah Hammond and considers the lessons learned.