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Compliance

SEC nears settlement with financial services firms over WhatsApp

Around 16 broker-dealers noted SEC probes into their communications

The latest settlement is likely to see firms finalising deals that would include an admission of wrongdoing and commitment to fixing the issues

2 min read

Goldman Sachs to pay $5.5m to settle charges over pandemic-era audio records

By Penny Sukhraj

2023-08-30T07:11:07Z

3 min read

Investment Banking compliance Regulation Goldman Sachs CFTC

Problems with its vendor system led to Goldman's failure to retain records of thousands of calls

City firms ramp up compliance spend to monitor messaging apps

By Penny Sukhraj

2023-04-12T17:16:58Z

2 min read

compliance Trading Regulation Whatsapp

'Investment will need to continue to meet mounting regulatory pressure'

Copper hires Standard Chartered, Deutsche Bank veteran as crypto firms bolster compliance teams

By Alex Daniel

2022-09-05T04:01:11Z

2 min read

Crypto Financial Conduct Authority Fintech Binance compliance Regulation Cryptocurrency Philip Hammond

Tim Neill will head up risk for the crypto custodian as the digital assets sector looks to sure up its defences against impending regulation

FCA set for management talks over falling morale after staff survey blasts bosses

By Justin Cash

2022-08-01T10:52:19Z

3 min read

FCA compliance Regulation

Employees will be mulling the way forward after polling showed a lack of confidence in the FCA’s board

Banks target money launderers in data sharing drives

2022-07-25T15:20:56Z

5 min read

Investment Banking compliance Regulation

New

Twenty Most Influential in Wealth Management 2024

Bilal Jafar

Crypto leaders say UK regulation has ‘lagged behind’ as FCA consults on rules

North of South Capital gets Dubai approval, London partner to lead new office

The big are getting bigger: Survival of the fittest among multi-strat hedge funds

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Why banks axing clients won’t stop the scourge of financial crime

2022-01-14T05:01:10Z

3 min read

Investment Banking compliance Regulation View

De-risking is used by banks to manage potential financial crime risks they are exposed to, but it's no panacea to beat money laundering

NatWest accepts $35m fine in guilty plea over Treasury market spoofing

Dave Michaels

and

Aruna Viswanatha

2021-12-22T10:39:59Z

3 min read

Investment Banking compliance Regulation NatWest Group

The FCA has had a brutal 2021. Here’s why next year will be ‘daunting’ too

By Justin Cash and Lucy McNulty

2021-12-22T09:49:47Z

6 min read

FCA compliance Regulation View

Four top names look to the future after a tough year for the regulator

Fines for money laundering breaches total around $930m globally, drop 40% in second pandemic year

By Lucy McNulty

2021-08-19T07:00:23Z

3 min read

anti-money laundering compliance Regulation

UK regulators issued $32.9m in fines in the first half of 2021, compared to US regulators' $711m in penalties over the same time period

More than a third of UK remote workers fear bosses’ spyware

By Lucy McNulty

2021-06-10T09:44:17Z

3 min read

compliance People regtech surveillance

The pandemic has supercharged a growing trend of employee surveillance

Fidelity International is among firms grappling to find better ways to monitor home-bound employees during the pandemic

Fidelity International turns to new surveillance tech to track staff communications

The company says the tech will enable ‘our ability to identify, stop and prevent adverse behaviours’ among regulated staff

A trader at Goldman in London told FN that the memo was interpreted, especially among equities desks, as a warning about the GameStop saga

Goldman Sachs warns traders: No ‘manipulation,’ social media or spreading rumours amid GameStop frenzy

A trader said staff are interpreting the memo as a caution about the GameStop market frenzy that has rattled some funds while triggering investors to reposition their portfolios

Somerset Capital names Wellington’s Wilson as first-ever compliance chief

James Wilson, who has worked as a compliance officer at hedge fund Wellington Management since 2016, joined Somerset Capital on 25 January

Some banks will spend the next 12 weeks testing an app that enables compliance teams to track staff chats on Signal, as traders ditch rival WhatsApp

Banks rush to spy on traders’ Signal chats amid WhatsApp exodus

Surveillance firms are luring in bank clients to track Signal in what is becoming a perpetual whack-a-mole game between City workers and their compliance teams

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