Only fill in if you are not human
This article focuses on examples of what organisations have been doing to demonstrate implementation of reasonable prevention procedures, includes analysis from tax experts regarding the ongoing review of the UK tax compliance framework and discusses HMRC’s CCO ‘self-reporting’ mechanism.
Classic behavioral and trading trails that make market abusers easy prey for today’s technologically-empowered law enforcers.
Radar takes an in-depth look at how the battle is shaping up in the main territories, and how firms are navigating the fragmented global enforcement picture.
Despite the short-term perception of cost savings in running down the life of existing systems, the upside from smart investment in tech will swiftly outstrip these costs and drive profit.
Singapore has jailed its second individual for market manipulation in a year, signaling that the need for better compliance defenses has never been greater.
Behavox head of regulatory intelligence, Alex Viall, gives his take on what Market Watch 56 means for firms in terms of future supervision, and enforcement.
Financial crime experts Glenn Perachio, Richard Palmer and Tom Goodman from the EY trader surveillance team join Radar for a fireside chat to talk about their work and the forces shaping the compliance technology market.
Major new study reveals the 25 types of financial misconduct that have proved timeless and repetitive.
Radar spoke with Covington & Burling FS partners Charlotte Hill and Jerry Hodgkins to discuss the nature of modern whistleblower protections.
Financial regulators begin to probe ethical use of big data and artificial intelligence in banking.
Surveillance teams in dark over antics of traders as regulator slaps fine on bank.
Radar interviewed compliance chiefs at some of the world’s biggest banks to understand how they are adapting to protect their institution, and what behaviors and signals they believe to be the real indicators of impending trouble.
Radar spent time with Kavita Jain, director in the Office of Emerging Regulatory Issues at FINRA, discussing risks, trends, new technology and the rise of “alternative data”.
A new toolkit from the Financial Stability Board (FSB) contains plenty of familiar weapons in an arsenal designed to combat misconduct and redirect enforcement to individuals rather than firms.
Securities and Exchange Commission Chairman Jay Clayton has warned firms they are being scored on their culture, and that misleading behavior will land tougher and more drawn-out regulatory action.
The emergence of Deferred Prosecution Agreements (DPA) across a significant number of new jurisdictions is putting compliance staff at multinationals under more pressure than ever to shore up their risk mitigation systems and avoid any potential corporate prosecution.