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News, Insights & Tech Trends
Explore Argus Archive updates, industry insights, and technology developments in compliance and communications.
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FCA CP24/24 and PS25/13: Structural Reform, Regulatory Continuity, and the Ongoing Importance of Communications Recording
In late 2024, the Financial Conduct Authority (FCA) published Consultation Paper CP24/24 proposing the transfer of the MiFID Organisational Regulation… Read article
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Singapore Tightens Expectations on Call Recording and Record-Keeping
The financial advisory landscape in Singapore is governed by a robust framework of Notices and Guidelines issued by the Monetary… Read article
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What the AMF’s SPOT Inspections Reveal About MiFID II Communication Recording Requirements
In 2020, the Autorité des marchés financiers (AMF) published the results of a series of short-format supervisory inspections (“SPOT”) dedicated… Read article
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How Poor Voice Recording Controls Led to a $650,000 CFTC Penalty – and How Regulated Firms Can Avoid the Same Mistake
In late September 2024, the U.S. Commodity Futures Trading Commission (CFTC) issued an enforcement order against a registered futures commission… Read article
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When Recordkeeping Fails: What a Major CFTC Enforcement Action Means for Compliance Teams
In August 2023, the Commodity Futures Trading Commission (CFTC) issued a deeply consequential enforcement order against a large U.S. financial… Read article
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When Recording Lapses Lead to Multi-Million Euro Fines: BaFin’s Enforcement Sends a Clear Message
In February 2025, Germany’s financial regulator BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht) imposed administrative fines totaling more than €23 million on a… Read article
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The SEC’s $63 Million Reminder: Recordkeeping Failures Are Still Widespread
In January 2025, the U.S. Securities and Exchange Commission announced another sweeping set of enforcement actions targeting “off-channel” business communications.… Read article