Our in-brief roundup of notable stories from last week.
Why communication archiving, insider trading regulations and audit tech are effective guardrails for global financial markets amid times of volatility.
The regulator had previously indicated it might stop City staff from using encrypted communication apps.
The bank's own policy mandates a cooling-off period of two-to-four weeks if bankers speak for any reason to investors that might participate in the deal.
US Bank and Oppenheimer & Co fined $6m and $1m respectively for recordkeeping lapses.
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
Practical advice on how to approach complying with recordkeeping requirements and federal securities laws.
First UK action by Ofgem on off-channel comms in wholesale energy market.