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Proponent of a proactive culture of compliance, Director Grewal embarks on post-SEC career
He joined the SEC in 2021 and has overseen cases ranging from Regulation Best Interest to greenwashing charges.
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SEC, CFTC ding 12 firms for recordkeeping violations – dissenting voices get louder
The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.
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Atom Investors dinged for ecomms recordkeeping lapses, but no fine imposed
The firm received no penalty because of its proactive approach, swift remediation and substantial cooperation efforts with the SEC’s investigation of a third party.
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INTERVIEW: Donald McElligott on a better understanding of communications archiving tech
Julie DiMauro in conversation with compliance supervision expert Donald McElligott on regtech solutions in the communications recordkeeping space.
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Disney’s internal comms leaked as hacking group targets media giant over artist rights
Disney is investigating a data breach after hacktivists took credit for stealing personal and corporate data from an internal Slack channel.
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Venue and data completeness in the spotlight at GR Bank and broker roundtable
Also discussed in this informative and collegial session was communication surveillance and the focus of recent supervisory visits.
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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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XLoD event in NYC: Best practices in ecomms, voice and use of AI tools
This dispatch from the recent XLoD event in NY includes best practice tips in ecomms, trade data capture, and using AI effectively.