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Upskilling compliance, trust in AI and enforcement discussed at roundtable
Compliance professionals wrestled with current challenges at the latest Hedge Funds Global Relay event in London.
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XLOD London 2024: Addressing the proliferation of trade venues
Panelists from Bank of America, NatWest and Natixis discussed the challenges of multiple trade venues.
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New ASIC report showcases increased investigations and civil proceedings
The Commission started more investigations, yet criticism still present as total fines and civil penalties decreased substantially.
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CFPB announces action to curb unchecked worker surveillance
The CFPB is concerned about data brokers, data aggregators, and platforms using new technologies to collect and sell personal data and purport not to be covered by the FCRA.
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SEC, CFTC ding 12 firms for recordkeeping violations – dissenting voices get louder
The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.
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INTERVIEW: Donald McElligott on a better understanding of communications archiving tech
Julie DiMauro in conversation with compliance supervision expert Donald McElligott on regtech solutions in the communications recordkeeping space.
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‘Widespread recordkeeping failures’ – SEC charges mean 26 firms pay more than $390m combined
Three of the firms received credit for self-reporting.
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Crypto-friendly bank must enhance investigatory standards in AML/OFAC arenas
The Fed ordered the bank to enhance its AML and OFAC compliance regimes, citing “significant deficiencies.”