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Gensler speech offers a look back at 2024 rulemaking
Gary Gensler spoke of how his agency has updated the securities laws to promote US capital markets and spur economic success.
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XLOD London 2024: Assessing the risk and control landscape for 2025
The first of a series of reports from XLOD London features a panel discussion with experts from Standard Chartered, Lloyds Bank, and Citigroup.
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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.
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ASIC roundup: Unconscionable conduct, and the need for AI governance
The Australian Securities & Investments Commission’s latest actions and news, October 28 – November 1, 2024.
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Staying on top of the board: The importance of board evaluation
How an independent board evaluation can help a company to capitalize on what it’s doing right and correct where it may be going wrong.
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UK regulator fines Starling Bank £29m for ‘shockingly lax’ screening controls
Mark Taylor of Ibex Compliance identifies the key learning points from the FCA’s action against Starling Bank.
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Key factors to consider when managing VREQs and OIREQs
Eight lessons to be learned and one area of focus to prepare for.
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AI corner: WH task force focuses on datacenter energy, chatbots aim higher
The White House aims to help companies deal with AI datacenter energy consumption and new industry chatbots promise deeper reasoning.