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FINRA’s Thomas Gira talks algo compliance and the future of supervision and surveillance in an exclusive interview with Radar.
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.
On a quarterly basis, Radar explores some of the most innovative and effective CRX scenarios that have been deployed in real data sets and are giving clients new insights and signals.
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.
This article addresses some key issues for US financial institutions as they adapt to GDPR. It focuses on the differences from, and interaction with, the US data protection laws that apply to the financial services sector.
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”.
Radar met Scott Bauguess, deputy chief economist and deputy director, Division of Economic and Risk Analysis at the Securities and Exchange Commission, to talk big data, machine learning, and AI in compliance and filing.
Radar meets the new CEO of Saxo Capital Markets, and finds him determined to help clean up online trading as well as getting a few things off his chest.
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.
Trader talk under microscope again as firms face new pressure to cut out insider dealing.
Once admired for stability, British politics is enduring its most turbulent period in living memory and has left the capital markets on edge. Radar meets Shadow City Minister Jonathan Reynolds, the man hoping to instil some calm into London’s financial services sector.