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Compliance & Conversation: The culture club
Leading figures from financial services discussed some of the pressing issues of the day including: conduct and culture, AI, recordkeeping and surveillance.
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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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Podcast: Dr Mariola Marzouk on derisking, AML regtech and fear of speaking up
With a career spanning software and consulting firms as well as banks globally, Mariola gives us a frank insight into AML surveillance in practice.
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Data quality issues persist at firms according to the FCA
The regulator praises firms for improving the quality of transaction reporting, but points to continuing or recurring reporting issues.
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Energy’s rising importance is matched by regulatory scrutiny
Government concern about the state of the energy markets has led to new rules, and to action by regulators targeted at the energy and commodity sector.
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Tackling market abuse: Assessing surveillance for asset managers
Common risks asset managers are facing as a result of their day-to-day trading activities.
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Majority of firms unprepared for costs and challenges of MiCA
Survey finds only 9% of firms are ready to handle the EU’s Markets in Crypto-Assets Regulation.
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Venue and data completeness in the spotlight at GR Bank and broker roundtable
Also discussed in this informative and collegial session was communication surveillance and the focus of recent supervisory visits.