-
FINRA disciplinary action update 2024/43
Disciplinary decisions issued November 2 – 8, 2024.
-
UK regulators address critical third party operational resilience in financial sector
The FCA, PRA and BoE set out final requirements and expectations in order to manage potential systemic risk posed by tech firms.
-
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.
-
FCA simplifies transparency regime for bonds and derivatives
The regulator is also establishing a bond consolidated tape to ensure that the data is accessible cost-effectively.
-
FINRA disciplinary action update 2024/42
Disciplinary decisions issued October 26 – November 1, 2024.
-
Non-financial misconduct survey signals data-driven approach by FCA
Ashurst webinar highlighted key survey results, discussed potential data challenges and suggested actions for firms.
-
FINRA disciplinary action update 2024/41
Disciplinary decisions issued October 19 – 25, 2024.
-
FINRA disciplinary action update 2024/40
Disciplinary decisions issued October 12 – 18, 2024.