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SIFMA conference highlights efficient, dynamic US equity markets
Rapid structural change is, however, leading to some industry challenges, which are accentuated by changes in investors’ needs
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FINRA monitoring evolving third-party vendor landscape
Information on third-party vendors is used by FINRA in proactive outreach to member firms including alerts and guidance.
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Glencore’s compliance report offers insight into post-monitor enhancements
Global commodities trading firm produces ethics and compliance progress report focusing on monitoring, risk assessments and training.
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Podcast: Denis Jacob charts a path through regulatory uncertainty for healthcare
As leader of the ethics and compliance program at Henry Schein, Jacobs collaborates with stakeholders to ensure compliance, while prioritizing growth.
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Privacy experts give advice on complying with DORA and NIS2
Adequate preparation, identifying what and who is critical, and, above all, “practice, practice, practice” highlighted.
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FCA concerned about conflicts of interest at firms managing private assets
Dear CEO letter to asset managers also highlights market integrity and consumer outcomes as key supervisory priorities.
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PMCPA resolves Moderna case regarding tweets, articles about clinical trials
Actions by Moderna and associated third parties caused concern and ‘reflected poorly on the industry’.
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Third-party risk a key addition to FINRA’s 2025 Regulatory Oversight Report
Annual report includes new section on third-party supplier risk landscape, including emerging regulatory concern about AI use within firms and by third-parties.