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Latest News
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XLOD London 2024: Understanding regulatory expectations for comms surveillance
Panellists from HSBC and BNP Paribas discussed all things comms surveillance with Emily Wright moderating.
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NSCP’s Lisa Crossley sets out her vision for a Compliance Advisory Committee
GRIP’s Julie DiMauro spoke to Lisa Crossley about her vision for a compliance advisory committee and the much-needed clarity it could bring compliance professionals.
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Podcast: SEC Commissioner Hester Peirce on 2024 and the road ahead
In this episode of the GRIP Podcast, Commissioner Peirce spoke about rulemaking via enforcement and what she sees ahead for the US securities watchdog in the next calendar year.
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SEC announces enforcement results for fiscal year 2024
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
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Staff at NatWest banned from using major messaging apps
Use of WhatsApp, Facebook Messenger and Skype on work devices has been prohibited by UK bank NatWest.
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SEC Chair highlights competition in capital markets in speech
Thought-provoking remarks following the speech suggest treasury market reform a key focus for the SEC, while books and record requirements remain non-negotiable.
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CFTC fines Piper Sandler for recordkeeping violations; commissioners dissent
The dissenters questioned whether the definition of “business records” has been stretched beyond usefulness.
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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.