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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113 results
Regulatory Oversight
Treatment of whistleblowers in spotlight after FCA receives record number of SYSC 18 reports
One in eight people who made a protected disclosure to the Financial Conduct Authority (FCA) between April and June this...
Regulatory Oversight
FCA offers ‘supercharged sandbox’ for AI experimentation
The UK’s Financial Conduct Authority (FCA) launched what it is calling a “supercharged sandbox” in June, aiming to support financial...
Digital Assets
The US IRS turns its attention to digital assets
The Internal Revenue Service (IRS) has issued new tax forms in a bid to streamline reporting on earnings from digital...
Enforcement Actions
SEC fines MUFGʼs UK broker $9.8m for not substituting compliance
The US Securities and Exchange Commission (SEC) has fined MUFG Securities EMEA $9.8 million for failing to apply substituted compliance...
Regulatory Oversight
Financial ombudsman Q1 data shows 40% drop in complaints from CMCs, 80% uphold rates for pensions
Data from the first quarter of financial year 2025/26 from the Financial Ombudsman Service (FOS), published on August 7, shows...
Compliance
Neil Woodford, Woodford Investment Management to appeal £46m FCA fine
The Financial Conduct Authority (FCA) has announced that it is minded to fine Neil Woodford and his eponymous fund management...
Regulatory Oversight
FCA puts industry cost for motor redress at £9-£18bn, says ‘some firms’ broke law
The Financial Conduct Authority (FCA) will consult on a redress scheme for mis-sold motor finance by early October, following Friday’s...
Compliance
Regulators leave gaps in crypto ‘Travel Ruleʼ implementation
Global regulators are leaving “considerable gaps” in implementing the so-called Travel Rule in the cryptocurrency sector, according to a report...
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