Useful Articles
Industry news and views.
Read the latest news & opinion pieces on financial regulations, compliance and risk management from our team and industry colleagues.
Financial Firms – 5 Big Signs You Need To Rethink How You’re Supervising Your Communications (And Why)
Consumer Duty In Effect, $555mil Fines For Messaging Apps, FCA Supports New ESG Code & More | Latest Financial News Roundup
Opinion: Using ChatGPT in Compliance? This AI isn’t quite ready yet.
5 Major Benefits Of Using A Multi-Client Supervision Platform For Monitoring Communications
The Hybrid and Remote Working Problem: How Do You Monitor Communications Compliantly For Your Client Network or Employees?
FCA Tightens Grip On Principal Firms, SEC & FCA Crackdown On WhatsApp, £4m Fine For Failing To Implement MAR & More | Latest Financial News Roundup
Wall Street Fined $1.1b, FCA Questions WhatsApp Use, Mark Steward Steps Down From FCA & More | Latest Financial News Roundup
Citigroup Fined £12.6m, Compliance Staff Shortages, Fighting Financial Crime & More | Latest Financial News Roundup
Principal Firms – Final chance to get your house in order before December
