Regulation

We help keep companies like yours compliant. Find out how with this list of articles.

FCA Consumer Duty: A Work in Progress

The Consumer Duty came into action over a year ago. We assess its impact so far.

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The Generative Generation - AI, Chatbots and Financial Compliance

AI tools have undoubtedly transformed modern working practice across most industries. What does this mean for financial regulators?

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2024 So Far: Recordkeeping Revamps and Regulatory Rigor

An analysis of the intense regulatory activity we have seen so far from the SEC, FINRA and the FCA.

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Whatsapp Compliance, Self-Reporting, and Ripping off the Band-Aid

The SEC has incentivized firms to self-report on off-channel violations. We look into the process and its benefits.

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FINRA Report 2024: Recordkeeping Takeaways

Key recordkeeping teakeaways from the 2024 FINRA Annual Regulatory Oversight Report.

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The FCA's New Consumer Duty: The Role of Data Archiving

The FCA's new Consumer Duty comes into force in 2023, and the deadline for businesses’ implementation plans was October 31st 2022. Read on to find out what steps you can take to ensure you’re compliant.

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