Why structural incapacity requires a different legal lens.
Surveillance
We interview compliance headhunter Nick Litwinek in the first of a series designed to help compliance, risk, and legal practitioners to find, secure, and manage high-quality compliance talent across regulated industries.
Reporting, transparency, and governance frameworks were high on the agenda at Global Relay's recent compliance roundtable in Canada.
A key takeaway is that data challenges persist, despite being continually flagged for years.
A regular overview of notable enforcement cases and trends in the US.
Compliance
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Surveillance trends, regulator supervision, and the role of AI at wholesale banks and brokers
A synopsis of views and advice on current trends, regulatory supervision, and some practical solutions to the latest challenges.
ACER backs NRA enforcement of REMIT and demands better surveillance from traders.
CIRO alleges a firm failed to adequately supervise the US over-the-counter securities trading by two foreign broker-dealer clients.