-
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.
-
XLOD London 2024: Understanding regulatory expectations for comms surveillance
Panellists from HSBC and BNP Paribas discussed all things comms surveillance with Emily Wright moderating.
-
Experts unplugged: Challenges and opportunities in surveillance today
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
-
Experts unplugged: FCA non-financial misconduct survey
This series of articles is based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
-
Morgan Stanley Smith Barney fined $1.5m for inadequate supervision
Firm found to have no policy or procedure in place that could have detected misappropriation of $10m.
-
Experts unplugged: Compliance and HR in the second line of defense – a new paradigm
The first in a series of articles based on an extended dialogue between compliance and surveillance veterans Emily Wright and Rob Mason.
-
XLOD London 2024: Regulator insights on the future of risk management and controls
This panel discussion featured experts from the National Futures Association and Dutch financial markets authority AFM.
-
XLOD London 2024: Trade surveillance in the spotlight
Panellists from RBC, Deutsche Bank, TP ICAP and Lloyds discussed the future of trade surveillance.