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Behavox Regulatory Intelligence


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FINRA fine for Raymond James a timely reminder of basic process required to reasonably supervise email communications

Jan 29, 2018 6:49:02 AM / by Behavox Regulatory Intelligence posted in surveillance, FINRA, enforcement

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The US Financial Industry Regulatory Authority (FINRA) announced on December 21 that it fined Raymond James Financial Services, Inc. $2 million for failing to maintain reasonably designed supervisory systems and procedures for reviewing email communications. In addition, Raymond James agreed to conduct a risk-based retrospective review to detect potential violations evidenced in past emails.

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FCA's anti-competitive scrutiny is here to stay

Jan 25, 2018 10:19:27 AM / by Behavox Regulatory Intelligence posted in Financial Conduct Authority, surveillance, Competition, AI

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Asset managers must tighten monitoring of communications with rival firms, lawyers warned, after the UK Financial Conduct Authority accused four firms of collusion as it flexes its antitrust muscles for the first time.

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Behavox featured in GARP Risk Intelligence on the rise of AI in banking

Jan 24, 2018 1:52:50 PM / by Behavox Regulatory Intelligence posted in Behavox in the news

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Behavox is held up as best in class in this in-depth piece by journalist Katherine Heires on how banks are looking for holistic fraud-busting surveillance solutions. 

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Jail time for market abuse becoming the standard

Jan 23, 2018 9:45:10 AM / by Behavox Regulatory Intelligence posted in market abuse, singapore, monetary authority of singapore, senior managers regime

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Singapore has jailed its second individual for market manipulation in a year, signaling an increasingly hardline approach to enforcement and sending a message that the need for better compliance defenses has never been greater.

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Market Abuse Regulation to come of age in 2018 - are you ready?

Jan 19, 2018 3:00:00 AM / by Behavox Regulatory Intelligence posted in CRX

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2018 in financial compliance: what to expect

Jan 17, 2018 7:14:16 AM / by Behavox Regulatory Intelligence posted in CRX

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The onslaught of legislative and nonlegislative initiatives impacting financial services compliance and risk teams shows no signs of let-up over the next 12 months. The Behavox Regulatory Intelligence team cuts through the noise to look at what to expect in 2018.

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