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Latest News
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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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CAT might not have nine lives after Eleventh Circuit rules against funding model
An appeals court struck down the SEC’s funding plan for its Consolidated Audit Trail in a decision that adds pressure on the SEC.
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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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How HR teams can play a key part in the roll out of AI
Key areas where HR teams can add value and contribute to a successful role out of new AI technology within an organization.
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CFTC’s Johnson speaks of AI tools enhancing compliance, surveillance
Johnson said firms are leveraging AI to enhance their compliance and monitoring capabilities and meet regulatory mandates.
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FINRA fines former CCO at BD firm over surveillance lapses
Two compliance leaders of the global firm allegedly failed to properly supervise the surveillance of securities transactions.
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How the new age of AI can guard global markets
We need to understand the creative potential of AI if we are to feel the benefits.
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ACER highlights improvements needed in energy market surveillance under REMIT
Reports focus on PPATs’ readiness to identify suspicious activities and examine how NRAs analyze STORs.