FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
Julie DiMauro4 min read
Why communication archiving, insider trading regulations and audit tech are effective guardrails for global financial markets amid times of volatility.
Ryan Sheridan4 min read
GRIP’s US Content Manager Julie DiMauro spoke with Jennifer Joyce, Principal of Forensic and Integrity Services at EY.
Julie DiMauro14 min listen
FINRA identified the modern workplace as an initial area of focus for its latest review, asking for specific comments from member firms.
Julie DiMauro3 min read
SEC says ‘no-can-do to’ the 16 financial firms that submitted a motion to have their recordkeeping settlements modified.
Julie DiMauro4 min read
We explored how small and mid-sized pharmaceutical and biotech companies can avoid costly early compliance mistakes and minimize risk as they scale.
Alexander Barzacanos7 min read
The regulator had previously indicated it might stop City staff from using encrypted communication apps.
Hameed Shuja2 min read
Collective blind spots on LIBOR and off-channel communications have been pervasive, says Susannah Hammond and considers the lessons learned.
Susannah Hammond4 min read