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Latest News
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Experts unplugged: Challenges and opportunities in surveillance today
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
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Experts unplugged: FCA non-financial misconduct survey
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
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Experts unplugged: Ensuring senior management follows the rules
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
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IOSCO consults on pre-hedging practice
The consultation document sets out a proposed definition of pre-hedging and a number of recommendations for regulators as well as clients.
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Macquarie Bank fined for inadequate risk management practices
A trader was able to circumvent the bank’s controls in order to hide his losses for almost two years.
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Podcast: Emma Parry on conduct risk, whistleblowing and “speak-up” culture
We spoke to Emma Parry about her role as an expert witness in a high court case, her experience as head of global conduct risk and the fallout of recent whistleblowing cases.
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Rising tide of non-financial misconduct increases legal and compliance risk
Cases at Bank of Montreal and FDIC alongside a UK FCA survey on harassment make 2024 look a lot like 2023.