Artificial Intelligence (AI) is no longer just a buzzword, but a reality that is firmly on the radar of regulators and regulated firms in the US and UK. Recently, considerable investment into this area has prompted...more
2/15/2024
/ Artificial Intelligence ,
Compliance ,
Electronic Communications ,
Electronic Monitoring ,
Employee Monitoring ,
Enforcement ,
Enforcement Authority ,
Financial Conduct Authority (FCA) ,
Guidance Update ,
Regular Business Communications ,
Securities and Exchange Commission (SEC) ,
UK
Welcome to Banking Bites! This is our short summary flagging key developments in the UK that we hope will inform your activities in your market.
This edition covers...more
7/14/2022
/ Banking Sector ,
Capital Markets ,
Compliance ,
Congressional Committees ,
Economic Sanctions ,
Electronic Communications ,
Environmental Social & Governance (ESG) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Health and Safety ,
Internal Controls ,
Mental Health ,
New Guidance ,
Online Platforms ,
Russia ,
UK
On July 5, 2018, the SEC and the Department of Justice announced that Credit Suisse Group AG, has agreed to pay nearly $76 million to settle charges that its Hong Kong-based subsidiary, Credit Suisse (Hong Kong) Limited,...more
No matter the industry, maintaining effective corporate compliance programs has never been a more essential part of operations to address the legal risks that corporates face. This article, the third in a series about...more
5/22/2018
/ Chief Compliance Officers ,
Compliance ,
Corporate Governance ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
France ,
Non-Prosecution Agreements ,
Risk Assessment ,
Risk Management ,
Sapin II ,
Serious Fraud Office (SFO) ,
UK