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Podcast: Dan Nikci on compliance and innovation in alternative investments
Dan Nikci, Founder and Managing Partner of Applied Fund Solutions, discusses his work with the alternative investment community.
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GRIP’s ‘most read’ contributed stories in 2024
Compliance and legal professionals will remember 2024 as a year of considerable regulatory activity, major developments in technology, and the inevitable, routine mistakes.
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GRIP’s ‘most read’ stories in 2024
Compliance and legal professionals will remember 2024 as a year of considerable regulatory activity, major developments in technology, and the inevitable, routine mistakes.
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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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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.
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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.
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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.