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Compliance

Actionable, real-time and data-driven briefings on a dynamic regulatory environment ― to keep ahead of the financial and ESG compliance curve.

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23 results

Conduct & Culture

DEI backlash should not stall efforts to tackle toxic behaviour in financial firms

The new US administrationʼs cancellation of diversity, equality and inclusion (DEI) initiatives should not lead to misconduct at financial services...
By Lindsey Rogerson 4th February 2025
DEI backlash should not stall efforts to tackle toxic behaviour in financial firms

Regulatory Reporting

Global identifier org pairs with corporate registers to boost KYC

The Global Legal Entity Identifier Foundation (GLEIF) has partnered with two European corporate registers, partly to make Know Your Customer...
By Rachel Wolcott 3rd February 2025
Global identifier org pairs with corporate registers to boost KYC

Digital Assets

Bitcoin ETF: SEC approval one year on

Many in the digital asset investment community celebrated the decision by the Securities and Exchange Commission (SEC) to approve bitcoin...
By Elizabeth Lumley 31st January 2025
Bitcoin ETF: SEC approval one year on

Regulatory Reporting

FCA found 139 MiFID firms failing to report transactions in 2024

The UK Financial Conduct Authority (FCA) found 139 Markets in Financial Instruments Directive (MiFID II) firms potentially failing to report...
By Rachel Wolcott 29th January 2025
FCA found 139 MiFID firms failing to report transactions in 2024

UK Regulation

FCA publishes request to intervene in Supreme Court case, defends action over motor finance

The Financial Conduct Authority (FCA) has published its application to the UK Supreme Court for permission to intervene in three...
By Lindsey Rogerson 28th January 2025
FCA publishes request to intervene in Supreme Court case, defends action over motor finance

UK Regulation

Government should state risk tolerance for harm when easing regulation, says FCA chief

The UK government needs to give guidance on what an “acceptable outcome” would look like if the regulator eased borrowing...
By Lindsey Rogerson 27th January 2025
Government should state risk tolerance for harm when easing regulation, says FCA chief

Regulatory Oversight

With Trump in the White House, a new era for cryptocurrencies evolves

The 47th president has promised to make the US a cryptocurrencies hub. Will the new regime offer firms the regulatory...
By Elizabeth Lumley 24th January 2025
With Trump in the White House, a new era for cryptocurrencies evolves

Risk Management

European supervisor stress tests banks for resilience to trade wars

The European Banking Authority’s (EBA) biannual stress test kicked off this week. Last run in 2023, this yearʼs test will...
By Lindsey Rogerson 21st January 2025
European supervisor stress tests banks for resilience to trade wars