Culture war topics, the spread of misinformation, and the war in Ukraine have further complicated firms’ social media presence and their efforts to craft policies guiding what employees should and should not say online. Firms should reassess policies guiding employees’ social media posts on accounts linked to the company and weigh up whether they are


Surveillance RegTech 2022

The great work-from-home experiment forced traders from the office and digital surveillance teams into overdrive. RegTech can provide a path forward through serious legal obstacles that stand in the way of effective oversight. However, good compliance is not just about the tech and we need collaborative action to make surveillance RegTech fit for purpose. The


In an increasingly digital sector with divergent rule sets, the ability to manage the global compliance deltas in complex senior management accountability rules  is fast becoming a critical differentiator for senior management seeking to work across borders.   As we summarized in our latest Beacon, JWG’s surveillance community has covered quite a patchwork of regulatory obligations


Remember, Remember, the 5th of November… FCA, conduct and Ops

In Partnership with:

On Thursday last week, 5th November, the FCA published three Decision Notices, all prohibiting individuals from performing “any function in relation to any regulated activity carried on by any authorised or exempt persons or exempt professional persons” as each lacked “the necessary integrity and reputation required to work in the regulated financial services sector”. The offences