www.grip.globalrelay.comGlobal Relay Intelligence & Practice – All the latest news, insights, and publications from Global R

Global Relay Intelligence & Practice – All the latest news, insights, and publications from Global Relay. Welcome to GRIP, Global Relay’s new digital information service on practical compliance and regulatory change. Please enjoy this free trial of our subscription content service, for a limited time only. Compliance Audit Enforcement Reporting Supervision Data Privacy ESG ISSB Regulation CFTC ESMA FCA FINRA SEC Technology AI Cloud Crypto Fintech Security Media Podcast Search Search Compliance as a Profession Cybersecurity is top concern for nine out of 10 CCOs, survey reveals May 14, 2024 The WSJ surveyed around 300 compliance professionals to find out their current priorities. Julie DiMauro 4 min read Enforcement FINRA disciplinary action update 2024/17 May 14, 2024 Disciplinary decisions issued April 27 – May 3, 2024. Thomas Hyrkiel 1 min read Compliance Joint statement on second US-UK Strategic Sanctions Dialogue May 14, 2024 The US and the UK have reaffirmed that sanctions and export controls are essential tools of national security policy. Jean Hurley 1 min read Most Viewed Compliance More on Compliance Enforcement ASIC roundup: JP Morgan Securities fined A$775,000, and false documents May 13, 2024 The Australian Securities & Investments Commission’s latest actions and news, May 6 – 10, 2024. Martina Lindberg 4 min read Enforcement SEC & DOJ bring insider trading charges related to Dick’s Sporting Goods earnings May 13, 2024 The cases revolve around MNPI an individual got from a Dick’s Sporting Goods employee to engage in nearly 200 trades of the company’s securities. Julie DiMauro 2 min read Enforcement No smoke without fire – the FCA’s handling of the BSPS scandal May 13, 2024 The UK regulator has published a letter on its handling of the British Steel Pension scheme. We ask if it is justified in its glowing” assessment. Thomas Spratley | RPC , David Allinson | RPC 5 min read Enforcement The pay-for-tips whistleblower program model is poised to expand May 10, 2024 A growing recognition that these programs work when whistleblowers are paid is helping to fuel the spread. Julie DiMauro 4 min read More on Compliance Data More on Data Privacy Data breach exposes 49 million Dell customers May 14, 2024 The technology giant was hacked by Menelik, who has offered to sell the stolen data. Martina Lindberg 2 min read Privacy AT&T, Sprint, T-Mobile and Verizon fined nearly $200m for data protection failures May 7, 2024 Largest wireless carriers in US found illegally sharing access to customers’ location data. Martina Lindberg 2 min read Data Increasing number of sanctions and fines by CNIL, the authority reveals May 7, 2024 The French administrative regulatory body has issued more sanctions thanks to a ‘simplified procedure’ to handle complaints. Martina Lindberg 2 min read Privacy Three reasons why the EDPB consent or pay” opinion lets Meta off the hook April 29, 2024 Do social media users have a fair choice between giving up their privacy and paying a subscription fee? Read on for reasons to be cheerful, 1, 2, 3! Sherif Malak | Shoosmiths , Alice Wallbank | Shoosmiths 4 min read More on Data ESG More on ESG ESG Opinion: Voluntary Carbon Markets – is the nuance lost in the noise? May 7, 2024 Authors from the UK Nature Impact team give their opinion on the integrity of schemes to offset carbon footprint. Rich Fitton | UK Nature Investment Team , Andy Turnbull | UK Nature Investment Team 6 min read ESG FCA consultation on SDR and portfolio management as approach blooms May 3, 2024 Consultation paper is the latest stage in the implementation of SDR. Michaela Walker | Eversheds Sutherland , Phil Spyropoulos | Eversheds Sutherland 5 min read ESG FCA confirms new UK guidance to counter greenwashing April 25, 2024 New rule protects consumers by ensuring sustainable products and services are accurately described. Jean Hurley 4 min read ESG FinCEN reminds financial services firms to surveil for environmental crime April 24, 2024 FinCEN signals need to remain vigilant in identifying and reporting suspicious activity related to environmental crime. Julie DiMauro 2 min read More on ESG Regulation More on Regulation FCA FCA highlights technology implementation as weak point in market surveillance May 13, 2024 Market Watch 79 includes specific examples of failures and the results of a review of automated surveillance model testing. Thomas Hyrkiel 3 min read Regulation Banking agencies seek to place restrictions on incentive-based compensation May 9, 2024 Re-proposed rule wants to make such payments more sensitive to risk. Julie DiMauro 2 min read CFTC CFTC clarifies capital and financial reporting requirements for swap dealers and major swap participants May 6, 2024 The changes to Part 23 include the fine-tuning and harmonization of various rules including the tangible net worth approach and financial reporting requirements. Thomas Hyrkiel 1 min read CFTC CFTC amends rules for large trader reports May 2, 2024 The changes are intended to give the regulator better insight into large positions and exposures in the futures and options markets. Thomas Hyrkiel 2 min read More on Regulation Technology More on Technology Security AI, geopolitical, and climate-based emerging risks highlighted in WEF Report and RIMS Riskworld event May 13, 2024 Global, emerging risk barometers showcase risk managers’ concerns in new tech, geopolitics and climate-based forces. Julie DiMauro 3 min read Crypto EBA publishes final draft technical standards under MiCAR May 10, 2024 These technical standards are important to regulate access to the EU market and make the post-trading of crypto assets more secure. Jean Hurley 2 min read Crypto Blockchain intelligence: Unveiling the potential of analytics May 9, 2024 Blockchain analytics tools are instrumental in deciphering blockchain data and can aid fraud detection, compliance and business optimisation. Sam Tyfield | Shoosmiths 3 min read Crypto Crypto wrap: CFTC warns of regulation, Robinhood gets Wells notice, voters concerned on crypto May 8, 2024 Our pick of the week’s crypto stories. Carmen Cracknell 2 min read More on TechnologyContact Us Editorial Policy FAQs Legal Disclaimer Legal Terms & Policies Copyright © 2024 Global Relay Communications Inc. All Rights Reserved. Compliance Audit Compliance as a Profession Compliance Culture & Ethics Enforcement Reporting Supervision Data Privacy ESG ISSB Regulation CFTC ESMA FCA FINRA SEC US State Regulation Technology AI Cloud Crypto Fintech...