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Latest News
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Think before you “fix” it: CCO missteps lead to personal fines and bar
A stark reminder that Chief Compliance Officers are on the hook for misleading regulators during an examination.
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FCA’s light touch approach on off-channel comms is a warning shot, not a fine
Industry response to the FCA’s multi-firm review into off-channel communications and a comparison with the US approach.
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Robust recordkeeping and comms monitoring essential says FCA
Study reveals picture of uneven compliance and continued breaches by senior staff.
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Scottish charity fined after destroying irreplaceable personal records
Some of the destroyed items included handwritten letters and photographs from birth parents.
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Meta trial becomes test of board culpability over corporate scandals
Delaware court to hear testimony from Mark Zuckerberg, executives and directors in rare case that begins this week.
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PCAOB dings two firms for violations related to audit recordkeeping and disclosure
Failure to document and disclose work leads to fines totalling $50,000.
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Securities dealers must follow recordkeeping rules says Danish FSA
Thematic review points to persistent recordkeeping issues at firms stemming from inadequate controls and use of error-prone manual systems.
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Key facts about the new UK draft rules for stablecoins and crypto custody
Proposals to bring fiat-referenced stablecoins into the UK regulatory perimeter including custody and a new prudential regime.