Compliance
SEC nears settlement with financial services firms over WhatsApp
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
City firms ramp up compliance spend to monitor messaging apps
2023-04-12T17:16:58Z
2 min read
FCA set for management talks over falling morale after staff survey blasts bosses
2022-08-01T10:52:19Z
3 min read
Banks target money launderers in data sharing drives
2022-07-25T15:20:56Z
5 min read
Why banks axing clients won’t stop the scourge of financial crime
2022-01-14T05:01:10Z
3 min read
The FCA has had a brutal 2021. Here’s why next year will be ‘daunting’ too
2021-12-22T09:49:47Z
6 min read
More than a third of UK remote workers fear bosses’ spyware
2021-06-10T09:44:17Z
3 min read
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
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
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
Most Read
HSBC taps StanChart-backed AI startup for multi-year deal on financial crime
2021-01-06T11:28:27Z
2 min read
Wanted: Compliance hires as finance firms ramp up spying on staff
2020-12-16T12:00:28Z
4 min read
