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16 firms rebuffed by SEC in bid to revisit off-channel comms settlements
SEC says ‘no-can-do to’ the 16 financial firms that submitted a motion to have their recordkeeping settlements modified.
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Celito Tech’s Ravi Monangi and Ethan Grammer on compliant growth in life science
We explored how small and mid-sized pharmaceutical and biotech companies can avoid costly early compliance mistakes and minimize risk as they scale.
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FCA ditches plans to introduce WhatsApp ban for City bankers
The regulator had previously indicated it might stop City staff from using encrypted communication apps.
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OPINION: The perennial issue of collective blind spots and how to avoid them
Collective blind spots on LIBOR and off-channel communications have been pervasive, says Susannah Hammond and considers the lessons learned.
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SEC still live and kicking as 12 firms fined combined $63m+ in recordkeeping failure charges
Each firm used unapproved communication methods, or off-channel communications, to send and receive messages that were required to be maintained under the securities laws, the SEC said.
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McKinsey OxyContin settlement illustrates need for robust comms surveillance and archiving
The matter-of-fact narrative is scathing of the moral and ethical void at Purdue as well as the behavior at the consulting firm.
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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.