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CFTC orders BNY Mellon to pay $5m for swap reporting, supervision lapses
The CFTC said the firm failed to properly supervise its swap dealer business with respect to swap data reporting.
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Compliance & Conversation: Why is the spotlight on surveillance?
Two leading practitioners shared their thoughts on the role and function of surveillance in changing times.
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XLoD event in NYC: Managing risk, surveillance across the three lines of defense
Discussions of enterprise risk management, surveillance technology, and market abuse feature in the first of two reports.
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Tech roundup: ELVIS Act on AI, 8 ETH ETFs, and AI employees’ deep concerns
Our tech news wrap leads on a new statute that could leave the AI field all shook up.
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Book Review: Behind The Screens by Emily Wright
Emily Wright’s book on employee surveillance offers invaluable insight into a vital compliance area.
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Podcast: Emily Wright on trade surveillance, ethics and conduct
We spoke to the author of Behind the Screens: Understanding Employee Surveillance in Financial Services.
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Pragmatic and enabling: FCA’s Jamie Bell explains role regulator wants to play
Regulation chief gives a flavour of the thinking behind the FCA’s approach in conversation in front of senior professionals.
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Tech roundup: Banks increase tech spend; SAG-AFTRA gets ethical AI deal; biometric data lawsuit
Our tech roundup runs the gamut in discussing banking tech, biometric ID use and a cheeky orange juice maker.