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Third-party vendors
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FCA highlights technology implementation as weak point in market surveillance
Market Watch 79 includes specific examples of failures and the results of a review of automated surveillance model testing.
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Managing vendors supporting critical or important functions – from zero to full compliance with DORA
A summary of key practical steps based on the draft technical standard.
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Global cybersecurity attack attempts up 104% in 2023, report reveals
Two reports reveal worrying trend in cyberattacks.
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CFTC fines Goldman Sachs for failure to preserve audio recordings during pandemic
Civil fine relates to Goldman’s prior recordkeeping failures, but there is some dissent from Commissioners over sanctions.
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Existing enterprise agreements: A Trojan horse for AI risk?
A key issue facing business leaders in managing the risks of artiļ¬cial intelligence is the lack of full visibility of AI usage within their organizations.
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UK regulator ponders giving surveillance vendors access to its data sets
Jamie Bell, FCA Head of Secondary Market Oversight, keen to ensure smaller operators are not squeezed out as use of AI grows.