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SEC modernizes submission of some forms and filings
The rule requires broker-dealers, securities-based swap dealers, exchanges, clearing agencies, and other SROs to submit forms in certain electronic formats.
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Bosses struggle to police workers’ use of AI
Staff are adopting large language models faster than companies can issue guidelines on how to do so.
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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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Technology key for both advisers and investors according to Avaloq report
Findings highlight opportunities and challenges abound in a rapidly evolving ecosystem.
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IOSCO consults on pre-hedging practice
The consultation document sets out a proposed definition of pre-hedging and a number of recommendations for regulators as well as clients.
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Global Relay data report highlights adoption of AI by firms
AI query data as well as popular communications channels such as WhatsApp increasingly monitored by firms.
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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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NSCP 2024: Off-channel communications the focus of discussions
NSCP conference participants discussed recordkeeping enforcement actions, policy recommendations, and predictions about future enforcement patterns.