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    Is WORM Required for Record Keeping? The UK / FCA Regulatory View
    Blog

    Is WORM Required for Record Keeping? The UK / FCA Regulatory View

    Sam Taylor    |    24 July 2025

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    Jeremy Clark 2025 CIRO Fine - $80,000
    Enforcement

    Jeremy Clark Fine - $80k - Conflict of Interest - CIRO - Jul-25

    SteelEye    |    24 July 2025

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    BaFin Record Keeping Requirements
    Blog

    BaFin Record Keeping Requirements

    Matt Storey    |    17 July 2025

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    First National Bank 2025 OCC Enforcement - Corrective Measures Ordered
    Enforcement

    First National Bank - Liquidity Issues - OCC - Jul-25

    SteelEye    |    16 July 2025

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    Interactive Brokers 2025 - OFAC Fine - $11,832,136
    Enforcement

    Interactive Brokers Fine - $11.8m - AML - OFAC - Jul-25

    SteelEye    |    15 July 2025

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    Barclays Bank FCA Fine £39.3
    Enforcement

    Barclays Bank Fine - £39.3 - AML - FCA - Jul-25

    SteelEye    |    14 July 2025

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    SteelEye - An In-Depth Walkthrough of the FCA's Non Financial Misconduct (NFM) Policy Statement and Consultation Paper (CP25/18)
    Blog

    An In-Depth Walkthrough of the FCA's Non-Financial Misconduct (NFM) Policy Statement and Consultation Paper (CP25/18)

    Matt Storey    |    10 July 2025

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    SteelEye - FCA Finalises Non-Financial Misconduct Rules: What’s In, What’s Out, and What It Means
    Blog

    FCA Finalises Non-Financial Misconduct Rules: What’s In, What’s Out, and What It Means

    Matt Storey    |    10 July 2025

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    Monzo Bank 2025 FCA Fine
    Enforcement

    Monzo Fine - £21M - Inadequate Oversight - FCA - Jul-25

    SteelEye    |    07 July 2025

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    Jane Street $566.3m SEBI Fine
    Enforcement

    Jane Street Fine - $566.3m - Market Manipulation - SEBI - Jul-25

    SteelEye    |    06 July 2025

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    US Voice Recording and Record Keeping Rules: A Compliance Guide
    Blog

    US Voice Recording and Record Keeping Rules: A Compliance Guide

    Matt Storey    |    03 July 2025

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    Neil Woodford Fined £5.89 million by FCA
    Enforcement

    Neil Woodford FCA Fine - £5.9m - Duty of Care - FCA - Jul-25

    SteelEye    |    01 July 2025

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    Woodford Investment Management Fined £40 Million by FCA
    Enforcement

    Woodford Investment Management Fine - £40m - Liquidity Failures - FCA - Jul-25

    SteelEye    |    01 July 2025

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    James Staley Ban and Fine Upheld by Upper Tribunal - £1m - FCA - Jun-25
    Enforcement

    James "Jes" Staley Ban and Fine Upheld by Upper Tribunal - £1m - FCA - Jun-25

    SteelEye    |    26 June 2025

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    SteelEye - Navigating the Future of Financial Regulation: Insights from Regs & Eggs 2025
    Blog

    Navigating the Future of Financial Regulation: Insights from Regs & Eggs 2025

    SteelEye    |    26 June 2025

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