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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.
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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.