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While in the US regulators are clamping down on the basics, in Europe it’s still unclear who is compliant with what. In a recent conversation around the US enforcement actions... -
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It seems pretty clear that the size of the fines levied by US regulators for comms capture failures reflects frustration at the scale of the failure, ... -
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After the government’s reversal of its plan to lower the top rate of tax, and rumours of further backtracking on index-linked benefits, is it too much to hope that... -
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In April this year, the OCC issued its first-ever consent order involving a cryptoasset bank for anti-money laundering (AML) control deficiencies. -
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Participants in the energy trading markets face an increasingly difficult surveillance challenge. Regulators complain that they receive far fewer reports of suspicious activity from market participant ... -
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Surely there’s something wrong with a regulatory environment in which it takes four years to fine a bank for not implementing important new regulations around market abuse? -
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Ask surveillance professionals at banks whether surveillance should move away from its current (and failing) rules-based paradigm and move to a risk-based approach and they are overwhelmingly... -
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The need for better capture, the drive for surveillance of broader populations and the need to apply more sophisticated technologies to existing datasets to improve surveillance effectiveness... -
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While Amazon and others have come under fire for high-tech monitoring of employees, surveillance and compliance heads at banks have generally pushed back... -
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So far three big US banks have been hit with $200 million fines for, basically, not capturing conversations on messaging apps, notably WhatsApp. Other fines will follow.
