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Latest News
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ACER’s Q2 2025 REMIT Quarterly: Key takeaways for compliance professionals
Ongoing regulatory scrutiny, new transparency tools, and a continued focus on improving surveillance and reporting standards.
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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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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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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.
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Compliance & Conversation: The culture club
Leading figures from financial services discussed some of the pressing issues of the day including: conduct and culture, AI, recordkeeping and surveillance.
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OPINION: The perennial issue of collective blind spots and how to avoid them
Collective blind spots on LIBOR and off-channel communications have been pervasive, says Susannah Hammond and considers the lessons learned.
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Podcast: Dr Mariola Marzouk on derisking, AML regtech and fear of speaking up
With a career spanning software and consulting firms as well as banks globally, Mariola gives us a frank insight into AML surveillance in practice.
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Data quality issues persist at firms according to the FCA
The regulator praises firms for improving the quality of transaction reporting, but points to continuing or recurring reporting issues.