Compliance
Actionable, real-time and data-driven briefings on a dynamic regulatory environment ― to keep you ahead of the financial and ESG compliance curve.
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68 results
Regulatory Reporting
Bank of England proposes scrapping building societies sourcebook
The Bank of England (BoE) is consulting on scrapping the Building Societies Sourcebook (BSOCS), which outlines the rules governing building...
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Small and medium-sized enterprises (SMEs) and individuals currently bear the brunt of problems around cross-border transactions so global cooperation, including...
Enforcement Actions
Q1 fines top $7bn globally thanks to Ponzi penalty
Financial services fines in the first quarter of 2025 topped $7 billion globally thanks to a $5.9 billion civil penalty...
Regulatory Reporting
GenAI could be reg reportings’ short-term memory
Tools using generative artificial intelligence (GenAI) could become the “short-term memory” for stressed out trade and transaction reporting teams. GenAI...
UK Regulation
UK regulator couldnʼt provide data on supervisory of ‘neo-brokersʼ
The UK Financial Conduct Authority (FCA) has been unable to provide data on the enforcement and supervisory measures it has...
UK Regulation
UK regulator monitors neo-brokers’ game-like features targeting Gen Z
The UK Financial Conduct Authority (FCA) is closely monitoring the game-like features of neo-brokers aimed at young investors. The online...
UK Regulation
UK government greenlights small pot consolidation, Pensions Regulator promises new toolkit
The UK government is moving forward with plans that will see small pension pots belonging to workers automatically consolidated. UK...
Compliance
Unauthorised firms increasingly tout AI ‘hybridʼ products
Unauthorised firms are increasingly touting products and services featuring artificial intelligence (AI) combined with another asset class such as crypto...
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